FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056483903 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lon Charles Faccini Jr. (Respondent) Former General Securities Representative CRD No. 2736849 Pursuant to FINRA Rule 9216, Respondent Lon Charles Faccini Jr. 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. Michael Ciro Colletti CRD No. 4577898, Respondent. Disciplinary Proceeding No. 2019061942901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2017 and February 2019, while associated with The Investment Center, Inc. (CRD No. 17839) (“ICI” or the “Firm”), Respondent Michael Ciro Colletti placed 73 trades with total principal value of approximately $157,231 in the account of an elderly customer without the customer’s prior authorization.