FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CRAIG STANTON NORTON (CRD No. 349405), Respondent. Disciplinary Proceeding No. 2016048837401 Hearing Officer–DRS EXTENDED HEARING PANEL DECISION January 31, 2022 For willfully manipulating the market for a security, Respondent Craig Stanton Norton is barred from associating with any FINRA member firm in any capacity and fined $240,360 plus interest. Appearances For the Complainant: Brody W. Weichbrodt, Esq.,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071087901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Reid C. Andrew (Respondent) General Securities Representative CRD No. 7056210 Pursuant to FINRA Rule 9216, Respondent Reid C. Andrew 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 that,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071027601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael A. Mollura (Respondent) Former General Securities Representative CRD No. 7294849 Pursuant to FINRA Rule 9216, Respondent Michael A. Mollura 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