FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. NYPPEX, LLC (CRD No. 47654), Laurence Allen (CRD No. 1063970), and Michael Schunk (CRD No. 732595) Respondents. Disciplinary Proceeding No. 2019064813801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On December 28, 2018, the Office of the New York Attorney General (NYAG) secured an Ex Parte Order (the Order) from the Supreme Court of the State of New York. The Order preliminarily enjoined and

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016049001401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm BD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,