From May 2014 through September 2023, RHF, and from at least November 2018 through July 2022, RHS, failed to establish and maintain supervisory systems that were reasonably designed for the firms' brokerage businesses, resulting in numerous violation of securities laws and FINRA rules.

The Department of Enforcement alleges: SUMMARY 1. Respondent Calvin Lee Gray failed to provide information and documents that FINRA requested pursuant to FINRA Rule 8210 as a part of an investigation into whether Gray violated any FINRA Rules or federal securities laws while associated with Wells Fargo Clearing Services, LLC (CRD No. 19616).

Bowman refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210 in connection with a FINRA investigation into whether Bowman personally reimbursed his customers for losses and fees. As a result, Bowman violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.