FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tavic O. Francis, CRD No. 6676717, Respondent. Disciplinary Proceeding No. 2023078168101 COMPLAINT The Department of Enforcement alleges: SUMMARY On four occasions, Respondent Tavic O. Francis failed to provide documents and information FINRA requested pursuant to FINRA Rule 8210 as part of FINRA’s investigation into Francis’s use of a corporate credit card to pay personal expenses.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080266701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David C. Burke (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2239637 Pursuant to FINRA Rule 9216, Respondent David C. Burke 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. Charles William Wodrich CRD No. 2715728, Respondent. Disciplinary Proceeding No. 2022075322601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1.