FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSE L. CENTENO (CRD No. 6368188), Respondent. Disciplinary Proceeding No. 2020066079903 Hearing Officer–LOM HEARING PANEL DECISION August 28, 2024 In violation of FINRA Rule 2010, Respondent falsely marked his firm’s records to show that he had reviewed 383 exception reports for suspicious trading activity when he had not.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061442702 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 (WFCS) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.