FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Darren M. Kubiak CRD No. 1239086, Respondent. Disciplinary Proceeding No. 2018060897302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Darren M. Kubiak (“Kubiak”) failed to appear and provide testimony requested pursuant to FINRA Rule 8210 on two occasions. As a result, Kubiak violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BROKERBANK SECURITIES, INC. CRD No. 130116, and PHILIP PAUL WRIGHT (CRD No. 2453688), Respondents. Disciplinary Proceeding No. 2022074278301 Hearing Officer–BEK DEFAULT DECISION July 24, 2023 Respondent BrokerBank Securities, Inc.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075401701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Howard Stuart Rothman (Respondent) General Securities Representative CRD No. 5685224 Pursuant to FINRA Rule 9216, Respondent Howard Stuart Rothman 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. 2019063946701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David H. Miller (Respondent) Former General Securities Representative and General Securities Principal CRD No. 4648882 Pursuant to FINRA Rule 9216, Respondent David H. Miller submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.