BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, DECISION Complainant, Complaint No. 2019064656601 vs. Charles Scott Burford Dallas, Texas, Dated: March 14, 2024 Respondent. Respondent executed unauthorized trades in, and facilitated unauthorized withdrawals from, his deceased customer’s account. Held, findings and sanctions affirmed. Appearances For the Complainant: Jennifer L. Crawford, Esq., Corinna Provey, Esq., Financial Industry Regulatory Authority For the Respondent: Charles Scott Burford, pro se

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 100148 / May 15, 2024 Admin. Proc. File No. 3-20705 In the Matter of the Application of DEVIN LAMARR WICKER For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING FINRA found that person associated with member firm converted a customer’s funds; barred him for his violations of FINRA rules; and ordered restitution. Held, FINRA’s findings of violation and sanctions imposed are sustained. APPEARANCES: Gary A.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 99940 / April 11, 2024 Admin. Proc. File No. 3-18989r In the Matter of the Application of Trevor Michael Saliba For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING On partial remand for clarification of findings and reconsideration of sanctions, FINRA found that owner of former FINRA member firm knowingly provided false memos to FINRA staff on two occasions and barred him for that conduct.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 99596 / February 23, 2024 Admin. Proc. File No. 3-20646 In the Matter of the Application of THOMAS LEE JOHNSON For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Associated person of FINRA member firm converted funds mistakenly placed in his personal account. Held, FINRA’s findings of violation and sanction are sustained. APPEARANCES: Jon-Jorge Aras, of Levan Legal LLC, for Thomas Lee Johnson.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. NYPPEX, LLC, Laurence Allen, and Michael Schunk, Rye Brook, NY, Respondents. DECISION Complaint No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024083243101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maria De Los Angeles Leon (Respondent) Former General Securities Representative CRD No. 6042515 Pursuant to FINRA Rule 9216, Respondent Maria De Los Angeles Leon submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082753901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Martin (Respondent) Former General Securities Representative CRD No. 2928678 Pursuant to FINRA Rule 9216, Respondent James A. Martin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 100662 / August 6, 2024 Admin. Proc. File No. 3-21246 In the Matter of the Application of WILFREDO FELIX for Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Principal of former FINRA member firm appeals from FINRA disciplinary action finding that he failed to comply with FINRA investigative requests. Held, FINRA’s findings of violations and imposition of sanctions are sustained.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 100553 / July 18, 2024 Admin. Proc. File No.