| FINRA.org

2018058611601 Joseph John Weinrich CRD 461987 OHO Decision jlg (2022-1644106807483).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. JOSEPH JOHN WEINRICH (CRD No. 461987), Respondent. Disciplinary Proceeding No. 2018058611601 Hearing Officer–RES DEFAULT DECISION January 4, 2022 Respondent is fined $5,000 and suspended for 30 business days from associating with any FINRA member in any capacity for willfully failing to timely amend his Form U4 to disclose a Chapter 7 bankruptcy petition and making false and inaccurate statements to his

Lisa Arnesen

Lisa Arnesen is FINRA’s Vice President of People Analytics and Operations. In this role, Ms. Arnesen leads the strategic and operational support of all HR systems, as well as FINRA’s employee relations and people-focused data analytics and reporting functions.

2020067798901 Shawn Patrick CRD 1419385 AWC sl (2022-1643934017215).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT No. 2020067798901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shawn Patrick (Respondent) Investment Company and Variable Contracts Products Representative Investment Company and Variable Contracts Products Principal CRD No. 1419385 Pursuant to FINRA Rule 9216, Respondent Shawn Patrick submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule

Lori Walsh

As the Vice President and Deputy Chief Economist, Ms. Walsh is responsible for management of national strategic and tactical initiatives by providing high quality research, analysis and advice on the economics of securities regulation and policy in support of the Office of the Chief Economist (OCE) and FINRA’s mission. The work product informs current rulemaking initiatives, reviews of existing rules and potential areas of future regulatory actions through analysis of the economic impacts of existing and potential rulemakings.

2020066566001 Warren Ellwood Rowe, Jr. CRD 1065880 AWC jlg (2022-1643934017903).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066566001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Warren Ellwood Rowe, Jr. (Respondent) Former General Securities Representative CRD No. 1065880 Pursuant to FINRA Rule 9216, Respondent, Warren Ellwood Rowe, Jr., 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
Subscribe to