BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robert Juan Escobio, Coral Gables, FL, Respondent. DECISION Complaint No. 2018059545201 Dated: March 10, 2021 Respondent failed to respond to FINRA information requests and failed to appear and provide testimony. Held, findings and sanctions affirmed. Appearances For the Complainant: Megan P. Davis, Esq., Janine D. Arno, Esq., Department of Enforcement, Financial Industry

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067463101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: George Marshall Warner (Respondent) Former General Securities Representative CRD No. 2300570 Pursuant to FINRA Rule 9216, Respondent George Marshall Warner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.