FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sam Jakobs CRD No. 6623905, Respondent Disciplinary Proceeding No. 2023077022402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On April 4, 2024, and July 16, 2024, FINRA sent Respondent Sam Jakobs request letters pursuant to FINRA Rule 8210, requiring him to provide information and documents related to payments that Jakobs and entities affiliated with Jakobs received from a registered representative.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080583901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher S. Coffey (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6850994 Pursuant to FINRA Rule 9216, Respondent Christopher S. Coffey 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. 2021071423301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: HSBC Securities (USA) Inc. (Respondent) Member Firm CRD No. 19585 Pursuant to FINRA Rule 9216, Respondent HSBC Securities (USA) Inc. 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. 2023079789501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kelln B. Small (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4370485 Pursuant to FINRA Rule 9216, Respondent Kelln B. Small 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. 2023077597701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Victor Alan Lessinger (Respondent) Former General Securities Representative CRD No. 830821 Pursuant to FINRA Rule 9216, Respondent Victor Alan Lessinger submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.