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John William Bernard – San Luis Obispo, California

An AWC was issued in which Bernard was fined $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. Without admitting or denying the findings, Bernard consented to the sanctions and to the entry of findings that he exercised discretion in the accounts of customers without having obtained the customers’ prior written authorization and without his member firm having accepted the accounts for discretionary trading. The suspension was in effect from January 2, 2018, through January 30, 2018. (FINRA Case #2015044696201)