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Fredrick Scuteri Comment On Regulatory Notice 25-04

I am writing to respectfully request your attention to an issue I have encountered regarding the process for obtaining a waiver for individuals like myself who have held multiple FINRA licenses in the past but whose registrations have expired due to factors outside of their control.

Alternative & Direct Investment Securities Association (ADISA) Comment On Regulatory Notice 24-17

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2018056490326 Jordan Paul Meadow CRD 6116538 AWC lmp (2025-1744935600404).pdf

Meadow refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210, in violation of Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

2020067553301 Northern Trust Securities, Inc. CRD 7927 AWC gg (2025-1744935599483).pdf

From August 2016 to December 2024, Northern Trust violated FINRA Rules 6730 and 2010 by failing to report its commissions to the Trade Reporting and Compliance Engine (TRACE) for certain transactions in TRACE-eligible securities. During the same period, the firm violated FINRA Rules 3110 and 2010 by failing to establish and maintain a supervisory system reasonably designed to achieve compliance with FINRA Rule 6730. For these violations, Northern Trust is censured and fined $150,000.

Federal Regulation of Securities Committee of the Business Law Section of the American Bar Association Comment On Regulatory Notice 24-17

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Marissa Roncancio Comment On Regulatory Notice 25-04

As we continue to evolve in a rapidly changing financial landscape, it is essential to consider how hybrid work arrangement has contributed to making employees feel that they have more of a work / life balance & supports retention & productivity. As firms compete for top talent, offering flexibility has become a crucial factor in attracting & retaining skilled professionals. the past few years have demonstrated that it can be implemented successfully while upholding the integrity of our regulatory responsibilities.

March 2025

24-02138.pdf

23-00503.pdf

2023079639201 Jarrett Carter Thomas CRD 5491743 AWC gg (2025-1744849201697).pdf

In June 2023, while associated with Wells Fargo Clearing Services, Thomas accepted instructions from an elderly customer, Customer A, to transfer $50,000 from her account at Wells Fargo Clearing Services to her outside bank account. Thomas knew that Customer A was suffering from advanced dementia and that she did not have the capacity or authority to give those instructions. By effecting the $50,000 funds transfer based on Customer A's instructions, Thomas made an unauthorized transaction in violation of FINRA Rule 2010.

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