FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082753901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Martin (Respondent) Former General Securities Representative CRD No. 2928678 Pursuant to FINRA Rule 9216, Respondent James A. Martin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 100662 / August 6, 2024 Admin. Proc. File No. 3-21246 In the Matter of the Application of WILFREDO FELIX for Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Principal of former FINRA member firm appeals from FINRA disciplinary action finding that he failed to comply with FINRA investigative requests. Held, FINRA’s findings of violations and imposition of sanctions are sustained.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 100553 / July 18, 2024 Admin. Proc. File No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081953701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher J. Booher (Respondent) Former Associated Person CRD No. 7645159 Pursuant to FINRA Rule 9216, Respondent Christopher J. Booher 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. 2024082479501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Armando Vargas (Respondent) Former Associated Person CRD No. 6108068 Pursuant to FINRA Rule 9216, Respondent Armando Vargas 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. 2023079207702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christian E. De Berardinis (Respondent) Former General Securities Representative CRD No. 4312327 Pursuant to FINRA Rule 9216, Respondent Christian E. De Berardinis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.