FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JORGE ANTONIO NETTO (CRD No. 2432661), Respondent. Disciplinary Proceeding No. 2018058537302 Hearing Officer–RES HEARING PANEL DECISION June 10, 2022 Respondent Jorge A. Netto is fined $10,000 and suspended from associating with any FINRA member in any capacity for four months for engaging in two outside business activities without providing written notice to his employer firm and for providing a false and inaccurate

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MEGURDITCH PATATIAN (CRD No. 4047060), Respondent. Disciplinary Proceeding No. 2018057235801 Hearing Officer–DDM EXTENDED HEARING PANEL DECISION June 10, 2022 Respondent Megurditch Patatian made unsuitable recommendations to his customers for REIT purchases, variable annuity surrenders, and variable annuity exchanges. To obtain approval of the REIT purchases, he overstated his customers’ financial information and investment