FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TRAVIS SCOTT HUGHES (CRD No. 7136761), Respondent. Disciplinary Proceeding No. 2019064416201 Hearing Officer-DDM HEARING PANEL DECISION February 3, 2021 Respondent is barred from associating with any member firm in any capacity for acting unethically by cheating during a qualification examination in

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062286101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lisa Brumm (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2834764 Pursuant to FINRA Rule 9216, Respondent Lisa Brumm submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.