FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael R. Rosalia (CRD No. 2323953), Respondent. Disciplinary Proceeding No. 2019060753508 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Michael R. Rosalia (“Rosalia”) failed to appear and provide testimony requested pursuant to FINRA Rule 8210 as part of FINRA’s investigation into whether Rosalia engaged in excessive and unsuitable trading in his customers’ accounts. As a result, Rosalia violated FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069382401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aurel Davina Anderson (Respondent) Former General Securities Principal Former General Securities Representative CRD No. 6573760 Pursuant to FINRA Rule 9216, Respondent Aurel Davina Anderson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.