FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080053401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Mullaly (Respondent) Former Private Securities Offering Representative CRD No. 6345942 Pursuant to FINRA Rule 9216, Respondent Christopher Mullaly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL HOEFLINGER (CRD No. 7602554), Respondent. Disciplinary Proceeding No. 2023078202201 Hearing Officer–LOM DEFAULT DECISION November 26, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failure to provide information and documents requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Appearances For the Complainant: Justin W. Arnold, Esq., Thomas R. Crimer, Esq., John R.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EUGENE H. KIM (CRD No. 2264940), Respondent. Disciplinary Proceeding No.