BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Parthos S. Ghosh Princeton, New Jersey, Respondent. DECISION Complaint No. 2016051615301 Dated: December 16, 2021 Registered representative engaged in outside business activities without providing prior written notice to his member firm. Held, findings affirmed, sanctions modified.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Thomas John Lykos, Jr. Houston, Texas, Respondent. DECISION Complaint No. 2018059510201 Dated: December 16, 2021 Registered representative acted unethically by cheating on a qualification examination and violating the Rules of Conduct governing examinations. Held, findings and sanctions affirmed.