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Timothy Thompson

Timothy Thompson is Senior Vice President, Enterprise Risk Management & Strategy (ERM). ERM provides a consolidated, organization-wide view of risks that could potentially have a significant impact on FINRA’s ability to achieve its mission, strategic goals and key business objectives. The program also assesses how each of these enterprise risks are being managed and supports FINRA's strategic planning, budgeting and resource allocation processes.

2019062059301 Barclays Capital Inc. CRD 19714 AWC vr (2024-1715559606912).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062059301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078612801 Fernando Corcuchia CRD 5394734 AWC vr (2024-1715559606562).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2023078612801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fernando Corcuchia (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5394734 Pursuant to FINRA Rule 9216, Respondent Fernando Corcuchia submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061942901 MICHAEL CIRO COLLETTI 4577898 Hearing Panel Decision df (2024-1715559606706).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL CIRO COLLETTI (CRD No. 4577898), Respondent. Disciplinary Proceeding No. 2019061942901 Hearing Officer–BEK HEARING PANEL DECISION February 28, 2024 For engaging in unauthorized and excessive trading in a customer’s account, Michael Ciro Colletti is fined $10,000, ordered to pay restitution in the amount of $5,417, and suspended from associating with any FINRA member firm in any capacity for eight months.

2021070337501 Michael Venturino CRD 5872439 Extended Hearing Panel Decision (2024-1715559606563).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL VENTURINO (CRD No. 5872439), Respondent. Disciplinary Proceeding No. 2021070337501 Hearing Officer–MC EXTENDED HEARING PANEL DECISION March 21, 2024 Respondent Michael Venturino is barred from associating with any FINRA member firm in any capacity for engaging in unsuitable excessive trading and churning in six customer accounts, in willful violation of federal securities laws and FINRA rules. He is additionally barred for entering unauthorized trades in the accounts.
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