FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gina Kidd CRD No. 6658538, Respondent Disciplinary Proceeding No. 2019064729705 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT DATE: April 1, 2022 INTRODUCTION Disciplinary Proceeding No. 2019064729705 was filed on February 4, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Gina Kidd submitted an Offer of Settlement (Offer) to Complainant dated March 30, 2022.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Francis Joseph Velten (CRD No. 2291911), Respondent Disciplinary Proceeding No. 2020066032801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Francis Joseph Velten failed to respond in any way to FINRA’s requests for information made pursuant to FINRA Rule 8210. As a result, Velten violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Velten, through his association with Ameriprise Financial Services, LLC (CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070405001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Paul Weiner (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2476604 Pursuant to FINRA Rule 9216, Respondent Jeffrey Paul Weiner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.