FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
2016051352401 First Clearing LLC nka Wells Fargo Clearing Services BD 19616 AWC va (2020-1607127597063).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051352401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Clearing, LLC (now known as Wells Fargo Clearing Services, LLC) (Respondent) Member Firm CRD No. 19616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent First Clearing submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2015047244701 Gurpreet Chandhoke CRD 4999369 and Stephen Shea CRD 3274649 Order Accepting Offer of Settlement va (2020-1607127597156).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GURPREET CHANDHOKE (CRD No. 4999369) and STEPHEN SHEA (CRD No. 3274649), Respondents. Disciplinary Proceeding No. 2015047244701 Hearing Officer-LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 4, 2020 INTRODUCTION Disciplinary Proceeding No. 2015047244701 was filed on August 12, 2019, by the
18-01513(2).pdf
Order to Confirm
Technical NoticeFINRA Internal Production Testing
November 04, 2020
As a reminder, FINRA will often conduct internal production region testing of its TRACE, ORF, ADF and TRF systems on Saturdays without the participation of firms. Clients are advised to only bring up their applications and connect to FINRA on Saturdays if they will be participating in testing.
Technical NoticeFINRA OTCE and OTC Transparency Data Websites Availability
November 05, 2020
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, November 7, 2020, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
19-03524.pdf
Consolidated with 19-03523 and 19-03525