FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Wilfredo Felix CRD No. 2693672, Respondent. Disciplinary Proceeding No. 2020065128501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent WIlfredo Felix failed to provide information and documents that FINRA staff requested pursuant to FINRA Rule 8210. As a result, Felix violated FINRA Rules

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065149201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Great American Investors, Inc. (Respondent) Member Firm CRD No. 28489 Pursuant to FINRA Rule 9216, Respondent Great American Investors, Inc. (GAI) 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles Thomas Stevens (CRD No. 1698058), Respondent. Disciplinary Proceeding No. 2017056627801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2006 through February 2020, while associated with two FINRA member firms, Respondent Charles Thomas Stevens willfully failed to amend his Uniform