FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, , Complainant v. WILFREDO FELIX (CRD No. 2693672), Respondent. Disciplinary Proceeding No. 2020065128501 Hearing Officer–BEK DEFAULT DECISION April 27, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide documents and information requested by FINRA, in violation of FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066109401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald V. Pullman (Respondent) Former Registered Representative CRD No. 1743097 Pursuant to FINRA Rule 9216, Respondent Ronald V. Pullman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.