SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 95141 / June 22, 2022 Admin. Proc. File No. 3-17930r In the Matter of the Application of LOUIS OTTIMO For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING On remand for reconsideration of sanctions, FINRA barred former registered representative of former FINRA member firm from association with any FINRA member in all capacities.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065748801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Reid Murray (Respondent) Former General Securities Representative CRD No. 2007449 Pursuant to FINRA Rule 9216, Respondent Patrick Reid Murray submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.