FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT HENDERSON (CRD No. 1160413), Respondent. Disciplinary Proceeding No. 2017053462401 Hearing Officer–RES HEARING PANEL DECISION September 7, 2021 Respondent Robert Henderson is fined $30,000 and suspended from associating with any FINRA member in any capacity for thirteen months for engaging in three outside business activities without providing written notice to his then-employer firm and for

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ADAM GERARD BELARDINO (CRD No. 5221927), Respondent. Disciplinary Proceeding No. 2019062347102 Hearing Officer–MC DEFAULT DECISION September 7, 2021 For failing to provide on-the-record testimony on two occasions in violation of FINRA Rules 8210 and 2010, Respondent Adam Gerard Belardino is barred from associating with any FINRA member firm in any capacity. Appearances For the Complainant: Loyd Gattis, Esq.,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067849801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin John DeAngelis (Respondent) General Securities Representative CRD No. 2423942 Pursuant to FINRA Rule 9216, Respondent Kevin John DeAngelis 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