FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066000901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William A. Fochi, Jr. (Respondent) General Securities Representative; Investment Company and Variable Contracts Products Representative CRD No. 1773450 Pursuant to FINRA Rule 9216, Respondent William A. Fochi, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Glendale Securities, Inc. Sherman Oaks, CA, George Alberto Castillo Sherman Oaks, CA, Paul Eric Flesche Sherman Oaks, CA Albert Raymond Laubenstein Anaheim, CA, Jose Miguel Abadin Sherman Oaks, CA, And Huanwei Huang New York, NY, Respondents DECISION Complaint No. 2016049565901 Dated: October 6, 2021 Member firm and the AMLCO failed to maintain a reasonable AML program