BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. DreamFunded Marketplace, LLC San Francisco, CA, and Manuel Fernandez San Francisco, CA, Respondents. DECISION Complaint No. 2017053428201 Dated: September 27, 2021 DreamFunded Marketplace and Fernandez: (1) failed to respond fully and completely to FINRA’s request for information and documents; (2) failed to deny an issuer’s access to the funding portal when the issuer’s

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063531701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maureen McKenna Fasanella (Respondent) Former Associated Person CRD No. 5580617 Pursuant to FINRA Rule 9216, Respondent Maureen McKenna Fasanella 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064209301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lee B. Taylor (Respondent) General Securities Representative and Operations Professional CRD No. 3045030 Pursuant to FINRA Rule 9216, Respondent Lee B. Taylor 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