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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055024201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cindy Maria Fuzie, Respondent CRD No. 5222145 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Cindy Maria Fuzie ("Fuzie" 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. 2017053705201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Samuel K. Van Allen, Respondent CRD No. 4464706 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Samuel K. Van Allen (“Van Allen” or “Respondent”), 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. 2018059546401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brenda M. Kochel, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5212755 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brenda M. Kochel ("Respondent" or "Kochel") submits this Letter of Acceptance, Waiver and

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL G. MAUGHAN CRD No. 2561363, Respondent. Disciplinary Proceeding No. 2017054755206 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel G. Maughan, while associated with Financial West Group ("Financial West" or the "Firm"), a FINRA-regulated broker-dealer, churned and excessively