Election Notice – 9/6/2022

Summary

The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and rule changes.

2019063639201 Michael G. Ferrera Jr. CRD 4865324 AWC lp (2022-1664670001160).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063639201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael G. Ferrera Jr. (Respondent) Former General Securities Representative Former General Securities Principal Former Investment Company and Variable Contracts Products Representative CRD No. 4865324 Pursuant to FINRA Rule 9216, Respondent Michael G. Ferrera Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062419801 John Charles Barnes CRD 862738 AWC lp (2022-1664669999140).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062419801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Charles Barnes (Respondent) General Securities Representative CRD No. 862738 Pursuant to FINRA Rule 9216, Respondent John Charles Barnes 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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