2019061076001 Barclays Capital, Inc. CRD 19714 AWC gg (2023-1684455612484).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061076001
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.
21-02367(3).pdf
order to confirm
2022075514701 Tori K. Uhiren (a.k.a. Tori van der Geest) CRD 6303936 AWC lp (2023-1684455612541).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075514701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Tori K. Uhiren (a.k.a. Tori van der Geest) (Respondent)
Former Investment Company Products and Variable Contracts Products Representative
CRD No. 6303936
Pursuant to FINRA Rule 9216, Respondent Tori K. Uhiren submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023078057401 Michael Patrick Raineri CRD 4817558 AWC lp (2023-1684455612329).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078057401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Michael Patrick Raineri (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 4817558
Pursuant to FINRA Rule 9216, Respondent Michael Patrick Raineri submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.