FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tripoint Global Equities, LLC (CRD No. 143174), and Mark Elenowitz (CRD No. 2057802), Respondents. Disciplinary Proceeding No. 2017053409201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 2015 through August 2016, Respondents Tripoint Global Equities,

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GUSTAVO TRUJILLO FRANCO (CRD No. 6793684), Respondent. Disciplinary Proceeding No. 2019064884501 Hearing Officer-RES DEFAULT DECISION May 28, 2020 Respondent is barred from associating with any FINRA member in any capacity for failing to appear for on-the-record testimony as required by FINRA Rule 8210. Appearances For Complainant: J. Loyd Gattis, Esq., Michael P. Manly, Esq., Department of Enforcement, Financial Industry Regulatory Authority

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL PATRICK MURPHY (CRD No. 2596905), Respondent. Disciplinary Proceeding No. 2017053843901 Hearing Officer - RES HEARING PANEL DECISION May 27, 2020 Respondent Michael Patrick Murphy is fined $20,000 and suspended from associating with ay FINRA member in any capacity for six months. Respondent willfully failed to timely amend his Form U4 to disclose three

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059527301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Julie Reyes, Respondent Former Associated Person CRD No. 6779272 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Julie Reyes submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.