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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061646405 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul A. Spero (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1637713 Pursuant to FINRA Rule 9216, Respondent Paul A. Spero 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. 2019062788601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Constantinos Maniatis (Respondent) Former General Securities Representative CRD No. 4253356 Pursuant to FINRA Rule 9216, Respondent Constantinos Maniatis 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. 2018059856601TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin D. Barton (Respondent) General Securities Representative CRD No. 2542056 Pursuant to FINRA Rule 9216, Respondent Kevin D. Barton 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. 2019063251701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Martin Martirosian (Respondent) General Securities Representative CRD No. 5261144 Pursuant to FINRA Rule 9216, Respondent David Martin Martirosian submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.