From May 1, 2020 to August 31, 2020. and again from August 1, 2022 to October 14, 2022, Tifin conducted a securities business without maintaining the required minimum net capital, in violation of Sections 15(c) or the Securities Exchange Act of 1934 ("Exchange Act'") and Rule 15c3-1 promulgated thereunder and FINRA Rules 4110(b)(1) and 2010. ln addition. during these time periods, the firm did not prepare accurate net capital computations, and the firm filed inaccurate financial and Operational Combined Uniform Single ("FOCUS") reports and maintained inaccurate books and records.

On February 27, 2024, while associated with J.P. Morgan, Slattery cheated on the North American Securities Administrators Association Series 66 Uniform Combined State Law Exam. As a result, Slattery violated FINRA Rule 2010 and is barred from associating with any FINRA member in all capacities.

Between April 2022 and May 2023, while registered with FINRA, Miro engaged in an outside business activity without providing prior written notice to BMO. As a result, Miro violated FINRA Rules 3270 and 2010 and is suspended for 3 months and fined $5,000.