Wilson-Davis & Co,. Inc.

12/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20130355130-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (“FINRA") RE: Wilson-Davis & Co., Inc., Respondent Broker-Dealer CRD No. 3777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Wilson-Davis & Co., Inc. (“WDCO" or the “firm") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a

Reference 2013035513001data-portal.finra.orgfinra.org

07/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100216047-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Wilson-Davis &.Co., Inc., Respondent Broker-Dealer CRD No. 3777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Wilson-Davis & Co., Inc. ("WDCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent for the purpose of proposing a settlement of the alleged rule violations described

Reference 2010021604701data-portal.finra.orgfinra.org

09/28/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050025082-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Wilson-Davis & Co., Inc., Respondent Broker-Dealer CRD No. 3777 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Wilson-Davis & Co., Inc., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2005002508202finra.orgdata-portal.finra.org

08/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170171-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Wilson-Davis & Co., Inc., Respondent Broker-Dealer CRD No. 3777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wilson-Davis & Co., Inc. (the "firm") 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

Reference 2009017017101data-portal.finra.orgfinra.org

04/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140436263-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Wilson-Davis & Co., Inc., Respondent Broker-Dealer CRD No. 3777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wilson-Davis & Co., Inc. (the "firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2014043626301data-portal.finra.orgfinra.org

12/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100250341-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Wilson-Davis & Co., Inc., Respondent Broker-Dealer CRD No. 3777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Wilson-Davis & Co., Inc. ("WDCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010025034101data-portal.finra.orgfinra.org

07/18/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062183901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wilson-Davis & Co., Inc. (Respondent) Member Firm CRD No. 3777 Pursuant to FINRA Rule 9216, Respondent Wilson-Davis & Co., 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 is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019062183901data-portal.finra.orgfinra.org

11/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140423062-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wilson-Davis & Co., Inc., Respondent Broker-Dealer CRD No. 3777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2014042306201data-portal.finra.orgfinra.org

02/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130357686-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Wilson-Davis & Co., Inc., Respondent Broker-Dealer CRD No. 3777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wilson-Davis & Co., Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2013035768601data-portal.finra.orgfinra.org

04/12/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042949704 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wilson-Davis & Co., Inc., Respondent CRD No. 3777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014042949704data-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

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.

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

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

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

10/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), (CRD No. AND PAUL DAVIS (CRD No. 62435), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2007008724701 HEARING OFFICER: SNB ORDER ACCEPTING OFFER OF SETTLEMENT BY RESPONDENT WILSON-DAVIS & CO., INC. (CORRECTED) INTRODUCTION Disciplinary Proceeding No. 2007008724701 was filed on December 27, 2010, by the Department of Enforcement of the Financial Industry

Reference 2007008724701data-portal.finra.orgfinra.org

04/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090196528-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FTNRA") RE: Wilson-Davis & Co., Inc., Respondent Broker-Dealer CRD No. 3777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Wilson-Davis & Co., Inc. (''WDCO" or the "firm" submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2009019652801data-portal.finra.orgfinra.org