FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL PATRICK MURPHY (CRD No. 2596905), Respondent. DISCIPLINARY PROCEEDING No. 2017053843901 HEARING OFFICER: COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. From February 2014 through May 2018, Michael Patrick Murphy willfully failed to timely amend his Uniform Application for Securities Industry Registration or

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FREDERICK DAVID HOLLOWAY (CRD No. 248814), Respondent. Disciplinary Proceeding No. 2016050025401 Hearing Officer–DW AMENDED1 HEARING PANEL DECISION April 11, 2019 Respondent Frederick David Holloway improperly recommended variable annuity exchanges for dozens of clients. During a FINRA investigation into his conduct, Holloway responded to Rule 8210 requests for documents and information by

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059922101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kajo Movsesian, Respondent, Registered Representative CRD No. 6762326 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