FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Shadi Taysir Barakat CRD No. 5031281, Respondent. Disciplinary Proceeding No. 2018056490315 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In June and July 2024, Respondent Shadi Taysir Barakat (“Barakat” or “Respondent”), failed to provide on-the-record (“OTR”) testimony requested pursuant to FINRA Rule 8210 as a part of FINRA’s investigation into whether Barakat engaged in churning and excessive trading in his customers’ accounts.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073893001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ashlee Nicole Godfrey (Respondent) Former General Securities Representative CRD No. 5889108 Pursuant to FINRA Rule 9216, Respondent Ashlee Nicole Godfrey submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.