FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Booth Kennedy CRD No. 4498061, Respondent Disciplinary Proceeding No. 2021072389001 Hearing Officer-MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 17, 2023 INTRODUCTION Disciplinary Proceeding No. 2021072389001 was filed on September 22, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Christopher Booth Kennedy submitted an Offer of Settlement (Offer) to Complainant dated November 14, 2023.