FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cantone Research Inc. (CRD No. 26314), Anthony J. Cantone (CRD No. 1066139), and Raymond J. DeRobbio (CRD No. 1092310) Respondents. Disciplinary Proceeding No. 2017055886402 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2017055886402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondents Cantone Research Inc. (CRI), CRI President and majority

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068637101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Manuel Pinazo (Respondent) Former General Securities Representative CRD No. 5398494 Pursuant to FINRA Rule 9216, Respondent Manuel Pinazo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.