2019062300001 Thomas Barone CRD 5538663 AWC jlg (2020-1608941998741).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062300001
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Barone (Respondent)
Former Investment Company and Variable Contracts Products Representative CRD No. 5538663 Pursuant to FINRA Rule 9216, Respondent Thomas Barone submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019062873001 Joseph D. Olheiser CRD 4543537 AWC sl (2020-1608941998729).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062873001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Joseph D. Olheiser (Respondent)
General Securities Representative CRD No. 4543537
Pursuant to FINRA Rule 9216, Respondent Joseph D. Olheiser submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
2017054001501 Wells Fargo Clearing Services, LLC CRD 19616 AWC sl (2020-1608941998792).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2017054001501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Wells Fargo Clearing Services, LLC (Respondent)
Member Firm CRD No. 19616
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Wells Fargo Clearing Services, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.