2021071531701 Robert Paul Barberis CRD 1772762 AWC va (2022-1667694010356).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071531701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert Paul Barberis (Respondent)
General Securities Representative
CRD No. 1772762
Pursuant to FINRA Rule 9216, Respondent Robert Paul Barberis submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Regulatory Notice 22-21
Summary
FINRA alerts member firms to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), an automated system administered by the National Securities Clearing Corporation (NSCC), that facilitates the transfer of customer account assets from one firm to another.
2014041808601 Barclays Capital Inc. CRD 19714 AWC va (2022-1667607612759).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2014041808601
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.
Election Notice – 10/11/2022
Summary
FINRA will conduct a Special Meeting of large firms on Monday, October 31, 2022, at 9:00 a.m. ET in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect one individual to fill a Large Firm Governor seat on the FINRA Board of Governors (Board).1