BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Christopher Peter Tranchina, Neptune, N.J., Respondent. Decision Complaint No. 2018058588501 Dated: March 23, 2023 Respondent acted unethically when he gained unauthorized access to firm information by breaking into his former employer’s office after business hours and removing customer files. Respondent failed to timely amend his Form U4 to disclose related criminal proceedings.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Jason Lynn DiPaola Babylon, NY, Respondent. DECISION Complaint No. 2018057274302 Dated: March 23, 2023 Registered representative failed to disclose an outside account in which he exercised discretionary trading authority, submitted false and misleading compliance forms to his employer, and failed to provide on-the-record testimony. Held, findings affirmed and sanctions modified.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065993801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William F. Winchester III (Respondent) Former General Securities Representative CRD No. 4404327 Pursuant to FINRA Rule 9216, Respondent William F. Winchester III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.