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Election Notice – 10/20/20

Executive Summary

The purpose of this Election Notice is to notify FINRA small firm members of the process to fill one South and one Midwest Region vacancy on the Small Firm Advisory Committee (SFAC). In response to the Election Notice published on September 1, 2020, individuals only self-nominated to run for the South Region seat. Therefore, ballots will be distributed to elect one SFAC South Region representative; and because no individuals self-nominated to run for the Midwest Region seat, this seat will be filled by appointment.

2019063790901 Sean Michael Refsnider CRD 4762963 Order Accepting Offer of Settlement va (2020-1605399574358).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sean Michael Refsnider (CRD No. 4762963), Respondent. DISCIPLINARY PROCEEDING No. 2019063790901 Hearing Officer: RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 15, 2020 INTRODUCTION Disciplinary Proceeding No. 2019063790901 was filed on April 28, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or

2020066219001 Joshua W. Conner CRD 4945942 AWC va (2020-1605399574332).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066219001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joshua W. Conner (Respondent) Former Investment Company Products and Variable Contracts Products Principal CRD No. 4945942 Pursuant to FINRA Rule 9216, Respondent Joshua W. Conner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-034

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to modify Trade Reporting and Compliance Engine (“TRACE”) dissemination protocols regarding Agency Pass-Through Mortgage-Backed Securities or Small Business Administration (SBA)-Backed Asset-Backed Securities traded in Specified Pool Transactions.

2019061646404 Paul F Seymour CRD 2002154 AWC sl (2020-1605399574193).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061646404 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul F. Seymour, Respondent General Securities Representative CRD No. 2002154 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Paul F. Seymour submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061440201 Pratul V Agnihotri CRD 4031797 AWC sl (2020-1605399574252).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061440201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pratul V. Agnihotri, Respondent General Securities Representative CRD No. 4031797 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Pratul V. Agnihotri submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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