Update – FINRA TRAQS and API Testing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065073801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Antonio Almeida (Respondent) General Securities Representative CRD No. 3106626 Pursuant to FINRA Rule 9216, Respondent Antonio Almeida 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. 2018060330902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc. (Respondent) Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216, Respondent Western International Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory J. Mancuso CRD No. 5681691, Respondent. Disciplinary Proceeding No. 2020066608501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While associated with former FINRA member firm BMA Securities, LLC (CRD No. 108219), Gregory J. Mancuso handled the accounts of two senior customers who were also sisters--Customers 1 and 2. Beginning in September 2017 and continuing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065000301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Robert Dougherty (Respondent) Former Investment Company and Variable Contracts Product Representative CRD No. 6348064 Pursuant to FINRA Rule 9216, Respondent Andrew Robert Dougherty submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.