FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THOMAS J. BAUMANN (CRD No. 5254392), Respondent. Disciplinary Proceeding No. 2018056490310 Hearing Officer–MC DEFAULT DECISION September 20, 2024 Respondent Thomas J.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070875201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Park Avenue Securities LLC (Respondent) Member Firm CRD No. 46173 Pursuant to FINRA Rule 9216, Respondent Park Avenue Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.