2019064384101 William Blake McGowan CRD 6385231 AWC sl.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064384101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Blake McGowan, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6385231 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent William Blake McGowan (“Respondent” or “McGowan”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

SR-FINRA-2020-007

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 2111 (Suitability), 2310 (Direct Participation Programs), 2320 (Variable Contracts of an Insurance Company), 2341 (Investment Company Securities), and 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements), and Capital Acquisition Broker (CAB) Rule 211 (Suitability).

RAP

Registered Accounting Professional (RAP)

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