FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lek Securities Corp. CRD No. 33135, and Charles Frederik Lek CRD No. 4672129, Respondents. Disciplinary Proceeding No. 2021071137001 Hearing Officer: COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. Lek Securities Corporation (“LSC” or “the Firm”), acting through its Chief Executive Officer, Charles Frederik Lek (“Lek”), violated the terms of a December 2019 Order Accepting Offer of Settlement with FINRA (the “Order”).1 2.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062623001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: MM Global Securities, Inc. (Respondent) Member Firm CRD No. 2509 Pursuant to FINRA Rule 9216, Respondent MM Global Securities, Inc. (MM Global) 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mark Bedros Beloyan, CRD No. 1392748, Respondent. Disciplinary Proceeding No. 2019060700302 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2017 and May 2019 (the Relevant Period), Respondent Mark Beloyan, the President, Chief Executive Officer (CEO), Chief Compliance Officer (CCO), and Anti-Money Laundering Compliance Officer (AMLCO) of former FINRA member Tradespot Markets, Inc.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068006501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald Coy Bailey (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6270312 Pursuant to FINRA Rule 9216, Respondent Ronald Coy Bailey 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. 2019062351401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Glendale Securities, Inc. (Respondent) Member Firm CRD No. 123649 Pursuant to FINRA Rule 9216, Respondent Glendale Securities, Inc. 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. 2022076046801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dusty Lynn Sternadel (Respondent) General Securities Representative CRD No. 5872600 Pursuant to FINRA Rule 9216, Respondent Dusty Lynn Sternadel submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.