FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Patrick Matlock (CRD No. 5760255), Respondent. Disciplinary Proceeding No. 2020067731001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March and May 2020, while registered through J.P. Morgan Securities LLC (CRD No. 79), Respondent Patrick Matlock misrepresented material facts on a loan application and loan agreement he submitted to the U.S. Small Business Administration (SBA) in order to obtain an Economic Injury Disaster Loan (EIDL).

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel T. Minich CRD No. 6465746, Respondent Disciplinary Proceeding No. 2020066999801 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Corrected Version Date: August 16, 2022 INTRODUCTION Disciplinary Proceeding No. 2020066999801 was filed on June 6, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Daniel Minich submitted an Offer of Settlement (Offer) to Complainant dated August 10, 2022.