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.