FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROGER LEE ARNOLD (CRD No. 5284151), Respondent. Disciplinary Proceeding No. 2021072142202 Hearing Officer–RES DEFAULT DECISION May 16, 2023 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents as required by FINRA Rule 8210.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063686204 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rande Aaronson (Respondent) Former General Securities Principal CRD No. 1758915 Pursuant to FINRA Rule 9216, Respondent Rande Aaronson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.