2020067652701 Kevin Kimball Meadows CRD 2878889 AWC (2021-1627690804236).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067652701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Kimball Meadows (Respondent) Former General Securities Representative CRD No. 2878889 Pursuant to FINRA Rule 9216, Respondent Kevin Kimball Meadows submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066888001 Martin J. Petela CRD 5587657 AWC DM (2021-1627604402411).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066888001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Martin J. Petela (Respondent) General Securities Representative CRD No. 5587657 Pursuant to FINRA Rule 9216, Respondent Martin J. Petela submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Oklahoma Department of Securities Comment On Regulatory Notice 21-17

From our review of FINRA’s website information on diversity and Regulatory Notice 21-17, it is our opinion that your efforts are commendable and on target to promoting and encouraging diversity in the industry and at FINRA. The programs that you have established e.g. your Internal Racial Justice Task Force, Annual Diversity Summit and the Racial Justice Task Force should help identify barriers to inclusion in the industry and consequently, provide remedies to overcome such impediments.

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