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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058651301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gelber Securities, LLC, Respondent Member Firm CRD No. 18367 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gelber Securities, LLC ("Gelber" or the "Firm") 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. TRAVIS SCOTT HUGHES CRD No. 7136761, RESPONDENT. Disciplinary Proceeding No. 2019064416201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On October 11,2019, Travis Scott Hughes cheated on the Series 79 qualification examination. Prior to arriving at the test center, Hughes hid personal notes in his shorts. During the exam, Hughes removed the notes and repeatedly reviewed them. He did so after acknowledging and agreeing to follow FINRA’s Qualification Examinations Rules