COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2023 and 2024, Respondent Daniel Hoeflinger (“Hoeflinger” or “Respondent”) failed to provide information and documents that FINRA requested pursuant to FINRA Rule 8210. 2. As a result, Respondent violated FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081387401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Aibel (Respondent) General Securities Representative CRD No. 2692818 Pursuant to FINRA Rule 9216, Respondent Steven Aibel 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. 2024081403101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John R. Emanuele (Respondent) Former General Securities Representative CRD No. 1034480 Pursuant to FINRA Rule 9216, Respondent John R. Emanuele 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. 2022076988401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sabrina Hampton (Respondent) Former Non-Registered Associated Person CRD No. 7144809 Pursuant to FINRA Rule 9216, Respondent Sabrina Hampton submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.