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FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN J. MURPHY (CRD No. 1645347), Respondent. DISCIPLINARY PROCEEDING No. 2017054548001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between July 2016 and September 2016, while registered with FINRA member firm Electronic Transaction Clearing, Inc. (ETC) (CRD No. 146122),

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061839001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Whitney Simon, Respondent Former Associated Person CRD No. 6815971 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Whitney Simon, 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. 2015047127703 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.P. Morgan Securities, LLC, Respondent Member Firm CRD No. 79 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing