FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Rani Soto CRD No. 6016117, Respondent. Disciplinary Proceeding No. 2018059766702 Hearing Officer: RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 13, 2020 INTRODUCTION Disciplinary Proceeding No. 2018059766702 was filed on August 28, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Rani Soto submitted an Offer of Settlement (Offer) to Complainant dated November 8, 2020.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Edward Schwartz CRD No. 2798141, Respondent. Disciplinary Proceeding No. 2017056698601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or around December 2015 through May 2017 (the “relevant period”), while registered with FINRA through member firm AIG Capital Services, Inc. (AIG), Respondent Jason Edward Schwartz converted $32,400 from AIG by submitting falsified

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063797402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Alan Stateman (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5530638 Pursuant to FINRA Rule 9216, Respondent David Alan Stateman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.