Regulatory Notice 25-10

FINRA has developed a secure electronic portal to replace email as the primary method for the filing and service of documents in Office of Hearing Officers (OHO) proceedings. These amendments modernize service and filing processes in a manner that will protect investors and the public interest by promoting efficiency while preserving fair process in OHO proceedings. The amendments become effective on October 7, 2025.

2024083348501 Harry Harper Warnick CRD 6916323 AWC ks (2025-1760574017159).pdf

Warnick failed to provide information and documents requested pursuant to FINRA Rule 8210 in connection with a FINRA investigation into whether Warnick participated in an undisclosed private securities transaction and outside business activity and maintained an undisclosed securities account. As a result, Warnick violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
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