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2019064729703 Patrick Kincheloe CRD 5955889 AWC sl (2021-1638577210062).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064729703 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Kincheloe (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5955889 Pursuant to FINRA Rule 9216, Respondent Patrick Kincheloe submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Sarah Gill

As FINRA’s Ombuds, Sarah Gill serves as an independent, neutral and confidential resource for investors, brokerage firms, individual brokers, FINRA staff and other stakeholders who have questions or concerns regarding activities of FINRA and its employees. She advocates for fair processes and the fair administration of FINRA’s processes.  

2019060753502 Jason A. Wilk CRD 6072438 Complaint jlg (2021-1638577210446).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason A. Wilk CRD No. 6072438, Respondent. Disciplinary Proceeding No. 2019060753502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2019, FINRA began investigating respondent Jason A. Wilk’s trading in Customer A’s account to determine whether the account was excessively traded. Specifically, Wilk’s trading in Customer A’s account between May 2018 and March 2019 resulted in a cost- to-equity
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