Government Shutdown Information

2019060648701 StockKings Capital LLC CRD 164445 Gregory Antonius Lewis CRD 2793976 Order Accepting Offer jlg (2022-1649895620717).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. StockKings Capital LLC (BD No. 164445) and Gregory Antonius Lewis (CRD No. 2793976), Respondents. Disciplinary Proceeding No. 2019060648701 Hearing Officer—MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 11, 2022 INTRODUCTION Disciplinary Proceeding No. 2019060648701 was filed on June 28, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant).

2020068502202 Kajie McMullen CRD 7052045 Order Accepting Offer jlg (2022-1649895621632).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kajie McMullen (CRD No. 7052045), Respondent. Disciplinary Proceeding No. 2020068502202 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 11, 2022 INTRODUCTION Disciplinary Proceeding No. 2020068502202 was filed on November 23, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Kajie McMullen submitted an Offer of Settlement

2020065149802 Vorpahl Wing Securities CRD 47548 Tim James Vorpahl CRD 1457312 AWC jlg (2022-1649895621435).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065149802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vorpahl Wing Securities (Respondent) Member Firm CRD No. 47548 Tim James Vorpahl (Respondent) General Securities Principal CRD No. 1457312 Pursuant to FINRA Rule 9216, Respondents Vorpahl Wing Securities and Tim James Vorpahl submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of

Regulatory Notice 22-10

Summary

Chief Compliance Officers (CCOs) at member firms play a vital role. For example, CCOs and their compliance teams help design and implement compliance programs, help educate and train firm personnel, and work in tandem with senior business management and legal departments to foster compliance with regulatory requirements. In this way, CCOs help promote strong compliance practices that protect investors and market integrity, as well as the member firm itself.1

2021069363301 Aegis Investments, Inc. CRD 16033 AWC jlg (2022-1649895621424).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069363301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aegis Investments, Inc. (Respondent) Member Firm CRD No. 16033 Pursuant to FINRA Rule 9216, Respondent Aegis Investments, Inc. (Aegis Investments) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition
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