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Election Notice – 6/4/21

Executive Summary

The annual meeting of FINRA firms will take place on or about Wednesday, September 1, 2021, to elect one Large Firm Governor, one Mid-Size Firm Governor, and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 2, 2021. 

2020065429701 Alisha T. Johnson CRD 4001356 AWC va (2021-1625185212585).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065429701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alisha T. Johnson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4001356 Pursuant to FINRA Rule 9216, Respondent Alisha T. Johnson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017052701101 James W. Flower CRD 2817701 Decision sl (2021-1625185212318).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES W. FLOWER (CRD No. 2817701), Respondent. Disciplinary Proceeding No. 2017052701101 Hearing Officer—LOM EXTENDED HEARING PANEL DECISION May 27, 2021 Respondent, James W. Flower, excessively traded in five customer accounts in violation of FINRA rules regarding quantitative unsuitability. Respondent’s misconduct rose to the level of churning because he traded for his own benefit, in reckless
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