FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Thomas J. Baumann (CRD No. 5254392), Respondent. Disciplinary Proceeding No. 2018056490310 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Thomas J. Baumann (“Baumann”) failed to provide information and documents that FINRA requested pursuant to FINRA Rule 8210 as part of its investigation into whether Baumann engaged in unauthorized trading in the account of a customer. As a result, Baumann violated FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060895201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: DAI Securities, LLC, formerly known as Lewis Financial Group, L.C. (Respondent) Member Firm CRD No. 36673 Pursuant to FINRA Rule 9216, Respondent DAI Securities, LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.