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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055021201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fred Brown, Respondent Former Registered Representative CRD No. 1175385 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Fred Brown ("Brown"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053375801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Michael Whiting, Respondent CRD No. 1752042 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stephen Michael Whiting ("Whiting" or "Respondent"), 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. 2018057561201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Gregory DiJulio, Respondent General Securities Principal CRD No. 1647694 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brian Gregory DiJulio, 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. 2017055858301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Larry Michael Crabtree, Respondent General Securities Representative CRD No. 2479599 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Larry Michael Crabtree ("Crabtree"), 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. 2018058614201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mijin Kim, Respondent Former Non-Registered Fingerprint Person CRD No. 6799926 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Oscar Nunez (CRD No. 6014411), Respondent. DISCIPLINARY PROCEEDING NO. 2017055553002 COMPLAINT The Department of Enforcement alleges: 1. From January 2016 through December 2016, while associated with J.H. Darbie & Co., Inc. ("J.H. Darbie" or the "Firm"), Respondent Oscar Nunez converted $7,000 from an eldely customer, HZ. To convince HZ to give him the funds, Nunez

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045281603 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sanford C. Bernstein & Co., LLC, Respondent Broker-Dealer CRD No. 104474 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sanford C. Bernstein & Co., LLC (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a