FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. William Nicholas Athas (CRD No. 3165470), Respondent. Disciplinary Proceeding No. 2018057883102 Hearing Officer—DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 7, 2022 INTRODUCTION Disciplinary Proceeding No. 2018057883102 was filed on January 18, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent William Nicholas Athas submitted an Offer

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2022073661801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael G. Mancinelli (Respondent) Former General Securities Representative CRD No. 5505925 Pursuant to FINRA Rule 9216, Respondent Michael G. Mancinelli 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