FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tarek Mohsen Mohamed (CRD No. 6717691), Respondent. Disciplinary Proceeding No. 2020067814802 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 27, 2022 INTRODUCTION Disciplinary Proceeding No. 2020067814802 was filed on December 29, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Tarek Mohsen Mohamed submitted an

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 94026 / January 21, 2022 Admin. Proc. File No. 3-19589 In the Matter of the Application of BRADLEY C. REIFLER For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING Registered securities association found that a person formerly associated with a member firm failed to respond to its requests for information at two on-the-record