FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gina Kidd, CRD No. 6658538, Respondent. Disciplinary Proceeding No. 2019064729705 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In December 2021, Respondent Gina Kidd failed to appear for on-the-record testimony requested by FINRA staff pursuant to FINRA Rule 8210. As a result, Kidd violated FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALON ZAK (CRD No. 5734529), Respondent. Disciplinary Proceeding No. 2020065349803 Hearing Officer–BEK DEFAULT DECISION January 31, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for falsifying and forging life insurance policy applications and for failing to provide sworn testimony to FINRA staff. In light of the bars, no additional sanctions are imposed