FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Keith Beech CRD No. 6169844, Respondent. Disciplinary Proceeding No. 2022076391701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between May 2016 and at least January 2023 (the “Relevant Period”), Daniel Keith Beech improperly paid commissions of approximately $900,000, directly and indirectly, to an unregistered person (“Individual A”), who was required to be registered at the time of the payments. Accordingly, Beech violated FINRA Rules 2040 and 2010.