Election Notice - 8/7/2023

Summary

FINRA will conduct its Annual Meeting of firms on Wednesday, September 6, 2023, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1

2021072406602 Robert Vincent Judge CRD 1147009 AWC gg (2023-1693700412435).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072406602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Vincent Judge (Respondent) Former General Securities Principal and Representative CRD No. 1147009 Pursuant to FINRA Rule 9216, Respondent Robert Vincent Judge submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

File a Complaint (Form)

Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from FINRA membership or other appropriate sanctions.

2021072406601 Bradley Thomas Wastler CRD 868378 AWC gg (2023-1693700406018).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072406601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bradley Thomas Wastler (Respondent) Former General Securities Principal and Representative CRD No. 868378 Pursuant to FINRA Rule 9216, Respondent Bradley Thomas Wastler submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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