FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062787101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James T. Booth, Respondent Registered Representative CRD No. 1906145 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Wilfredo Felix (CRD No. 2693672) and Primex Prime Electronic Execution, Inc. d/b/a Primex (CRD No. 29394) Respondents. Disciplinary Proceeding No. 2018058286901 Hearing Officer: COMPLAINT The Department of Enforcement ("Enforcement") alleges: I. SUMMARY 1. From January 2013 to December 2015, Wilfredo Felix--the Chief Executive Officer, Chief Financial Officer,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058673601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Tina Marie Martinez, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5012793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Tina Marie Martinez ("Respondent") submit 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 LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055074302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Rookasin, Respondent CRD No. 5760016 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Rookasin ("Rookasin" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062100401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Hunter Tillotson, Respondent General Securities Representative CRD No. 1320717 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Hunter Tillotson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059547901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bryan Joseph Clark, Respondent General Securities Representative CRD No. 2987321 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bryan Joseph Clark submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GURPREET CHANDHOKE (CRD No. 4999369 and STEPHEN SHEA (CRD No.3274649), Respondents. Disciplinary Proceeding No. 2015047244701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Over the course of more than three years, between March 2014 and August 2017, Respondents Gurpreet Chandhoke and Stephen Shea consistently failed to meet their obligations to disclose private

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043490102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Seven Points Capital, LLC, Respondent FINRA Member Firm BD No. 144211 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, Seven Points Capital, LLC ("Seven Points" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058354501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roger L. Owens, Respondent Former Registered Representative CRD No. 2359204 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roger L. Owens submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW MANUEL GARCIA (CRD No. 6715172), Respondent. DISCIPLINARY PROCEEDING NO. 2017054899801 HEARING OFFICER – DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 7, 2019 INTRODUCTION Disciplinary Proceeding No. 2017054899801 was filed on February 4, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA”) (“Complainant”).