FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ricky Alan Mantei (CRD # 1098981), Respondent. DISCIPLINARY PROCEEDING No. 2015045257501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Ricky Mantei circumvented the supervisory system of J.P. Turner & Company ("JPT") on three occasions over the course of a five-month period.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061700301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric Nichols, Respondent CRD No. 2710703 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Eric Nichols, Respondent submits 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. 2018060814701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Diane Zhu Former Investment Company and Variable Contracts Products Representative and Investment Company and Variable Products Principal CRD No. 2962421 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Diane Zhu ("Zhu") submit this Letter of Acceptance, Waiver and Consent ("AWC")

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057626102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Yousuf Saljooki, Respondent Former General Securities Representative CRD No. 5045123 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Yousuf Saljooki ("Saljooki") 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. 2018059962701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: James Hal Heafner, Respondent Investment Company and Variable Contracts Products Representative CRD No. 4837072 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 described

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robert Charles McNamara Rye, New York, Respondent. Decision Complaint No. 2016049085401 Dated: July 30, 2019 Respondent failed to disclose to his employer brokerage accounts held at another broker-dealer, improperly purchased equity initial public offering shares in an account held at that broker-dealer, and provided inaccurate

AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061425501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Cynthia Rice Jones, Respondent Former General Securities Representative CRD No. 706190 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Cynthia Jones 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 LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062228501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Michael Filipidis, Respondent Non-Registered Fingerprint individual CRD No. 6940966 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 described below.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 86523 / July 31, 2019 Admin. Proc. File No. 3-18546 In the Matter of the Application of ALLEN HOLEMAN For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION--REVIEW OF DISCIPLINARY PROCEEDINGS Registered principal of FINRA member firm appeals from FINRA disciplinary action finding that he did not timely updated his Form U4 to disclose tax liens,

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