2020067464701 Patrick A. Perugino CRD 6363411 AWC va (2023-1672878008221).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067464701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Patrick A. Perugino (Respondent)
General Securities Representative
CRD No. 6363411
Pursuant to FINRA Rule 9216, Respondent Patrick A. Perugino submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
The Small Firm Conference Call
Join FINRA Senior Leaders as they provide an update on the CE transformation and CAT implementation.
CE Transformation: January 2023 System Enhancements
Compliance professionals at member firms are invited to join FINRA staff for a demo of upcoming system enhancements in support of rule changes detailed in Regulatory Notice 21-41. Attendees are able to submit advance questions as part of the webinar registration process, and FINRA will answer selected questions during the session. Space is limited, and a recording will made available in the future.