FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053556902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RJJ Pasadena Securities, Inc., Respondent Member Firm CRD No. 8425 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent RJJ Pasadena Securities, Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063798401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elvis Beslagic (Respondent) Former General Securities Representative CRD No. 5565302 Pursuant to FINRA Rule 9216, Respondent Elvis Beslagic submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Wilfredo Felix North Amityville, NY, Respondent. DECISION Complaint No. 2018058286901 Dated: May 26, 2021 Respondent failed to comply with FINRA Rule 8210 requests and falsified expense entries, causing his member firm to maintain inaccurate books and records and file inaccurate FOCUS reports. Held, findings and sanctions affirmed, in relevant part. Appearances