From at least January 2011 to April 2025, Barclays failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to monitor for layering and spoofing of U.S.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Southeast Investments, N.C., Inc., Charlotte, North Carolina, and Frank Harmon Black, Rock Hill, South Carolina, Respondents. DECISION DISMISSING REMANDED CAUSES OF ACTION Complaint No. 2014039285401r Dated: June 6, 2025. On remand from the Securities and Exchange Commission. Held, remanded causes of action dismissed.

On April 24, 2025, Quinones refused to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.