FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN HARRIS (CRD No. 2440292), Respondent. Disciplinary Proceeding No. 2019062092401 Hearing Officer-DDM DEFAULT DECISION July 24, 2020 Respondent Steven Harris provided false and incomplete documents and false testimony to FINRA staff during an investigation. He also conducted an outside business activity without his firm's approval. For this misconduct,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052500601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J K R & Company, Inc., Respondent Member Firm CRD No. 8040 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent J K R & Company, Inc. (JKR, the firm, or Respondent), 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. CHAMS KHWAJA (CRD No. 6906622), Respondent. Disciplinary Proceeding No. 2019063626701 Hearing Officer-LOM DEFAULT DECISION July 24, 2020 Respondent Chams Khwaja is barred from associating with any FINRA member in any capacity for failing to provide documents and information requested pursuant to FINRA Rule 8210. Appearances For the Complainant: Melissa J. Turitz, Esq., Jeff Fauci, Esq., Department of Enforcement, Financial Industry Regulatory Authority

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019060698001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Enterprise Securities Company, Respondent Broker-Dealer CRD No. 26598 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent The Enterprise Securities Company (the "Firm" or "Respondent" or "Enterprise") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.