FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kajie McMullen (CRD No. 7052045), Respondent. Disciplinary Proceeding No. 2020068502202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Kajie McMullent failed to provide a complete response to FINRA’s February 2021 requests for information and documents made pursuant to FINRA Rule 8210. As a result, McMullen violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. McMullen,

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