FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069375901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Windmill Group, Inc. (Respondent) Member Firm CRD No. 8384 Pursuant to FINRA Rule 9216, Respondent The Windmill Group, Inc. submits 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. 2021072127801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SogoTrade, Inc. (Respondent) Member Firm CRD No. 17912 Pursuant to FINRA Rule 9216, Respondent SogoTrade, Inc. submits 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. 2021072127701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Open to the Public Investing, Inc. (Respondent) Member Firm CRD No. 127818 Pursuant to FINRA Rule 9216, Respondent Open to the Public Investing, Inc. submits 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. 2021072127101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SoFi Securities LLC (Respondent) Member Firm CRD No. 151717 Pursuant to FINRA Rule 9216, Respondent SoFi 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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073818801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Wade Godfrey (Respondent) General Securities Representative CRD No. 2447660 Pursuant to FINRA Rule 9216, Respondent William Wade Godfrey submits 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SECURITIES CAPITAL CORPORATION (CRD No. 22892), Respondent. Expedited Proceeding No. FPI230003 STAR No. 20230790019 Hearing Officer–BEK EXPEDITED HEARING PANEL DECISION October 5, 2023 For failing to file its annual audit report, Respondent is suspended, assessed a $1,000 late fee, and ordered to pay costs.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ARQUE CAPITAL, LTD. (CRD No. 121192), Respondent. Expedited Proceeding No. DFC230002 STAR No. 20230793367 Hearing Officer–BEK EXPEDITED DECISION December 1, 2023 Respondent Arque Capital, Ltd., failed to pay FINRA dues, fees, and other charges. Accordingly, its membership is cancelled. Appearances For the Complainant: Michael Manning, Esq., Mark Fernandez, Esq., and Jennifer L.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN KNOX GOODWIN (CRD No. 712634), Respondent. Expedited Proceeding No. ARB230012 STAR No. 20230791661 Hearing Officer—MJD EXPEDITED DECISION October 4, 2023 Respondent failed to pay a $24,000 arbitration award and failed to prove that he had a bona fide inability to pay or make a meaningful payment toward the award. Respondent is therefore suspended from associating with any FINRA member in any capacity. Appearances For the Complainant: Michelle Galloway, Esq., Michael P.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHE D. JEAN (CRD No. 5918186), Respondent. Disciplinary Proceeding No. 2022076975901 Hearing Officer–DRS DEFAULT DECISION June 27, 2023 Respondent is barred from associating with any FINRA member in any capacity for failing to provide information and documents and appear for on-the-record testimony that FINRA requested in connection with an investigation. Appearances For the Complainant: Matthew M. Ryan, Esq., Melissa J.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TREVOR MICHAEL PERRY (CRD No. 4994149), Respondent. Expedited Proceeding No. ARB230003 STAR No. 20230775599 Hearing Officer–BEK EXPEDITED DECISION June 6, 2023 Respondent failed to pay an arbitration award and failed to prove that he has a bona fide inability to pay the award. Respondent is therefore suspended from associating with any FINRA member firm in any capacity. Appearances For the Complainant: Bernard J. Cooney, Esq., Michelle Galloway, Esq., and Jennifer L.