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”).

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 86193 / June 24, 2019 Admin. Proc. File No. 3-18350 In the Matter of the Application of MEYERS ASSOCIATES, L.P. For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION--REVIEW OF DISCIPLINARY PROCEEDING Former FINRA member firm appeals from FINRA disciplinary proceeding finding that the firm failed to adequately supervise its Chicago office and failed

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059735201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fortino R. Rivera, Respondent General Securities Representative CRD No. 6358600 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Fortino R. Rivera ("Rivera" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054329501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc. CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("CGMI," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055914801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Emie Garcia, Respondent Former Registered Representative CRD No. 6329782 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061057001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aaron Williams, Respondent General Securities Representative CRD No. 6672540 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Aaron Williams ("Williams" or "Respondent") submit 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. Louis Mark Miller (CRD No. 3054955), Respondent. Disciplinary Proceeding No. 2017056829901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March 2018, Enforcement initiated an investigation into allegations that Louis Mark Miller (“Miller"), a General Securities Representative with LPL Financial LLC (“LPL" or the “Firm”), a FINRA regulated