Byron B. Barkley

12/19/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley Salt Lake City, UT, Respondents. DECISION Complaint No. 2012032731802 Dated: December 19, 2019 Member firm engaged in short selling in violation of federal securities laws.

02/27/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW (CRD No. 2761102), and BYRON B. BARKLEY (CRD No. 12469), Respondents. Disciplinary Proceeding No. 2012032731802 Hearing Officer–DW EXTENDED HEARING PANEL DECISION February 27, 2018 Respondent Wilson-Davis & Co. is fined $1,170,000 and ordered to disgorge $51,624 for improper short sales. For its failure to supervise

12/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Wilson-Davis & Co., Inc. (CRD No. 3777), James C. Snow (CRD No. 2761102), and Byron B. Barkley (CRD No. 12469), Respondents. DISCIPLINARY PROCEED1NG No. 2012032731802 HEARING OFFICER: COMPLAINT The Department of Enforcement (Department) alleges: SUMMARY 1. From January 1, 2011 through April 30, 2014 ("the Relevant Period"), Wilson-Davis & Co., Inc. ("Wilson-Davis" or the "Firm"), James Snow, the

Reference 2012032731802data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

07/10/2025: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley, Salt Lake City, Utah, Respondents. DECISION Complaint No. 2012032731802r Dated: July 10, 2025. On remand from the Securities and Exchange Commission for redetermination of sanctions. Held, sanctions modified.

Reference 2012032731802rdata-portal.finra.orgfinra.org