FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason A. Wilk CRD No. 6072438, Respondent. Disciplinary Proceeding No. 2019060753502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2019, FINRA began investigating respondent Jason A. Wilk’s trading in Customer A’s account to determine whether the account was excessively traded. Specifically, Wilk’s trading in Customer A’s account between May 2018 and March 2019 resulted in a cost- to-equity

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Abdul Matin Rahmani CRD No. 4269583, Respondent. Disciplinary Proceeding No. 2019063626703 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 2, 2021 INTRODUCTION Disciplinary Proceeding No. 2019063626703 was filed on April 15, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Abdul Matin Rahmani submitted an Offer of Settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066137801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Seijas (Respondent) Former General Securities Representative CRD No. 2392901 Pursuant to FINRA Rule 9216, Respondent James A. Seijas submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064312902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Jerome Rice (Respondent) Former General Securities Representative and General Securities Principal CRD No. 2103354 Pursuant to FINRA Rule 9216, Respondent Brian Jerome Rice submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065314401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian S. Pearce, Respondent Former General Securities Representative CRD No. 1334784 Pursuant to FINRA Rule 9216, Respondent Brian S. Pearce submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.