FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Hixon, CRD No. 4707468, Respondent. Disciplinary Proceeding No. 2021070867702 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent David Hixon failed to provide a complete response to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210 in July, August, and October 2021. As a result, Hixon violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Hixon first registered with FINRA in 2006.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FRANCIS JOSEPH VELTEN (CRD No. 2291911), Respondent. Disciplinary Proceeding No. 2020066032801 Hearing Officer-DDM DEFAULT DECISION July 19, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents during a FINRA investigation, in violation of FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071506202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Daniel Kent (Respondent) Former Investment Company and Variable Contracts Products Representative and General Securities Representative CRD No. 2255753 Pursuant to FINRA Rule 9216, Respondent James Daniel Kent 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017053210201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sagetrader, LLC (Respondent) Member Firm CRD No. 137862 Pursuant to FINRA Rule 9216, Respondent Sagetrader, LLC (the “Firm”) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.