FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON LYNN DIPAOLA (CRD No. 2848836), Respondent. DISCIPLINARY PROCEEDING NO. 2018057274302 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. From March 2015 to March 2017 (the “relevant period”), Jason Lynn DiPaola, while associated with FINRA member firm Chardan Capital Markets, LLC (“Chardan” or the “Firm”), exercised discretion and controlled the trading in his mother’s brokerage