FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven Harris CRD No. 2440292, Respondent. Disciplinary Proceeding No. 2019062092401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Steven Harris manufactured fake documents that he then provided to FINRA Staff in response to requests made pursuant to FINRA Rule 8210. FINRA Staff was

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063287401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Genesis Zschocher, Respondent Former Non-Registered Fingerprinted Person CRD No. 7091780 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Genesis Zschocher submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Linda C. Milberger Orlando, Florida, Respondent. DECISION Complaint No. 2015047303901 Dated: March 27, 2020 Respondent falsified customer wire request forms, provided false documents to her firm during an investigation, and provided a false document to FINRA

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058923701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William James Hite, Respondent General Securities Representative CRD No. 1675972 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent William James Hite (“Hite”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.