FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Francis Joseph Velten (CRD No. 2291911), Respondent Disciplinary Proceeding No. 2020066032801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Francis Joseph Velten failed to respond in any way to FINRA’s requests for information made pursuant to FINRA Rule 8210. As a result, Velten violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Velten, through his association with Ameriprise Financial Services, LLC (CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070405001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Paul Weiner (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2476604 Pursuant to FINRA Rule 9216, Respondent Jeffrey Paul Weiner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.