FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THOMAS LEE JOHNSON (CRD NO. 1215434), Respondent. Disciplinary Proceeding No. 2018056848101 Hearing Officer--MJD HEARING PANEL DECISION Date: August 23, 2019 Respondent converted $1,059,544.98 from his employer firm. For this misconduct, Respondent is barred from associating with any member firm in

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058670501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan D. Jensen, Respondent Former General Securities Representative CRD No. 5467555 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Bryan D. Jensen submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059898701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Arlyn Roy Stokesbary, Respondent Former General Securities Representative CRD No. 1717430 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Arlyn Roy Stokesbary ("Stokesbary" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES EDWIN TAYLOR (CRD No. 443066), JODI OYLER PADGETT (CRD No. 1828918), and JOHN LODGE FARMER (CRD No. 5354041), Respondents. Disciplinary Proceeding No. 2017053382401 Hearing Officer-DW HEARING PANEL DECISION August 22, 2019 Respondents Charles Taylor, Jodi Padgett and John Farmer engaged in undisclosed outside business activities. Respondents were compensated for

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Alpine Securities Corporation (CRD No. 14952), Respondent. DISCIPLINARY PROCEEDING NO. 2019061232601 FIRST AMENDED COMPLAINT The Department of Enforcement alleges SUMMARY 1. By late August 2018, Alpine Securities Corporation ("Alpine" or the "Firm"), in the face of significant and mounting financial difficulties, implemented a series of exorbitant and arbitrary fees.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055504801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Allen Kelbick, Respondent General Securities Representative CRD No. 1429133 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stephen Allen Kelbick ("Kelbick" 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. 2018059177601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Leonard J. Kuczynski, Respondent Investment Company and Variable Contracts Products Representative CRD No. 863341 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Leonard J. Kuczynski ("Kuczynski" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052699901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory T. Dean, Respondent Former General Securities Representative CRD No. 4922996 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Gregory T. Dean, 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. 2018060477501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Summit Brokerage Services, Inc., Respondent CRD No. 34643 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Summit Brokerage Services, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC")

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055503601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert Scott Davis Registered Representative CRD No. 4662922 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.