FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mark Sam Kolta, (CRD No. 5324620), Respondent. DISCIPLINARY PROCEEDING No. 2018057297102 COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020068533001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joel Christopher Riedel (Respondent) Former General Securities Representative CRD No. 2788408 Pursuant to FINRA Rule 9216, Respondent Joel Christopher Riedel submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robert Henderson Miramar, FL, Respondent. DECISION Complaint No. 2017053462401 Dated: December 29, 2022 Respondent engaged in unapproved outside business activities and willfully failed to amend timely his Form U4 to disclose four federal tax liens. Held, findings and sanctions affirmed. Appearances For the Complainant: Megan Davis, Esq., Michael Perkins, Esq., Kay Lackey, Esq.,