Brad Ahrens

As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA’s analytics strategy and implementations—including machine learning, artificial intelligence and data visualization—to further enable investor protection and safeguard the financial markets. He also chairs FINRA’s Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities that will maximize the benefits to investors, member firms and FINRA.

2021069322001 Electronic Transaction Clearing, Inc. CRD 146122 AWC vr (2023-1700698804011).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20210693220011 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Electronic Transaction Clearing, Inc. (Respondent) Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216, Respondent Electronic Transaction Clearing, Inc. (ETC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065396501 Peter J. Fetherston CRD 2108610 OHO Decision df (2023-1700698809140).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Peter J. Fetherston (CRD No. 2108610), Respondent. Disciplinary Proceeding No. 2020065396501 Hearing Officer–DRS EXTENDED HEARING PANEL DECISION September 26, 2023 For partially failing to respond to a FINRA request for information, Peter J. Fetherston is suspended for four months in all capacities from associating with any FINRA member firm.
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