FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TIMOTHY P. HIGGINS (CRD No. 2282547), Respondent. Disciplinary Proceeding No. 2018056490303 Hearing Officer–MC DEFAULT DECISION September 21, 2022 Respondent Timothy P. Higgins is barred from associating with any FINRA member firm in any capacity for failing to appear and provide testimony as required when requested pursuant to FINRA Rule 8210. Appearances For the Complainant: Vaishali Shetty, Esq. Department

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NYPPEX, LLC (CRD No. 47654), Laurence Allen (CRD No. 1063970), and Michael Schunk (CRD No. 732595), Respondents. Disciplinary Proceeding No. 2019064813801 Hearing Officer–DRS EXTENDED HEARING PANEL DECISION August 26, 2022 NYPPEX, LLC is expelled from FINRA membership and Laurence Allen is barred from associating with any FINRA member firm in any capacity for responding untimely and incompletely to FINRA requests

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 202106937S801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel Richard Hajduk (Respondent) General Securities Representative, Registered Options Principal CRD No. 830330 Pursuant to FINRA Rule 9216, Respondent Daniel Richard Hajduk submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.