BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Jorge A. Reyes, Miami Beach, FL, Respondent. DECISION Complaint No. 2016051493704 Dated: October 7, 2021 Registered representative fraudulently misrepresented and omitted material facts, recommended unsuitable securities to a particular customer, converted funds, and created and used marketing materials that violated the standards for public communications by FINRA members

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066000901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William A. Fochi, Jr. (Respondent) General Securities Representative; Investment Company and Variable Contracts Products Representative CRD No. 1773450 Pursuant to FINRA Rule 9216, Respondent William A. Fochi, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule