BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Peter J. Fetherston, Garden City, New York, Respondent. DECISION Complaint No. 2020065396501 Dated: December 9, 2024. The Hearing Panel found the Department of Enforcement did not demonstrate that the registered representative converted customer funds, or that he provided a false document, information, and testimony to FINRA concerning the purpose of those funds.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062573101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wells Fargo Clearing Services, LLC (Respondent) Member Firm CRD No. 19616 Pursuant to FINRA Rule 9216, Respondent Wells Fargo Clearing Services, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067449801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: LPL Financial LLC (Respondent) Member Firm CRD No. 6413 Pursuant to FINRA Rule 9216, Respondent LPL Financial LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080320901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert A. Yedid (Respondent) Former General Securities Representative CRD No. 1185909 Pursuant to FINRA Rule 9216, Respondent Robert A. Yedid submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.