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20-02680.pdf

Anonymous Comment On Regulatory Notice 21-17

This proposal has nothing to do with investor protection or market integrity. In a free republic, companies should be free to create their own human resource policies that fit their competitive needs under the law. FINRA should not use their monopoly to push any agenda that is unrelated to customer protection and market integrity.

20-03852.pdf

20-02972.pdf

20-02571.pdf

20-03187.pdf

2019064851901 Gary Len Wells CRD 1142058 AWC va (2021-1622578817177).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064851901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gary Len Wells (Respondent) Former General Securities Representative CRD No. 1142058 Pursuant to FINRA Rule 9216, Respondent Gary Len Wells submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.