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Jim Reese is Executive Vice President, Examinations. In this role, Mr. Reese leads the Exam Program’s strategic direction and execution and drives continuous improvement while supporting and empowering member firm compliance through shared observations and findings. Mr. Reese’s focus is on modernizing Examinations’ regulatory approach through the integration of advanced technology, analytics, and intelligence-led strategies in strong partnership with his Regulatory Operations colleagues.

2019063434601 ChoiceTrade CRD 104021 and Neville Golvala CRD 1710355 AWC vr (2023-1688948405502).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063434601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ChoiceTrade (Respondent) Member Firm CRD No. 104021 Neville Golvala (Respondent) General Securities Principal CRD No. 1710355 Pursuant to FINRA Rule 9216, Respondents ChoiceTrade and Neville Golvala submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068047101 Charles Schwab & Co., Inc. CRD 5393 AWC vr (2023-1688948405504).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068047101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Schwab & Co., Inc. (Respondent) Member Firm CRD No. 5393 Pursuant to FINRA Rule 9216, Respondent Charles Schwab & Co., Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.