FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. William Nicholas Athas (CRD No. 3165470), Respondent. DISCIPLINARY PROCEEDING NO. 2018057883102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From December 2014 through April 2020, Respondent William Nicholas Athas, while associated with K.C. Ward Financial (CRD No. 145135) and Worden Capital Management LLC (CRD No. 148366), churned and excessively traded nine accounts of seven different

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067473501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joel Kichline (Respondent) General Securities Representative CRD No. 1416219 Pursuant to FINRA Rule 9216, Respondent Joel Kichline submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.