FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON MALCOM PIRNIE (CRD No. 2878458), Respondent. Expedited Proceeding No. ARB240001 STAR No. 20240810310 Hearing Officer– DRS EXPEDITED DECISION July 8, 2024 Respondent failed to pay an industry-related arbitration award and failed to prove that he had a bona fide inability to pay or make a meaningful payment toward the award.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN LAWRENCE DAVIS (CRD No. 3028243), Respondent. Expedited Proceeding No. ARB240008 Star No. 20240817517 Hearing Officer–MC EXPEDITED DECISION August 6, 2024 Respondent failed to pay an industry-related arbitration award. At a hearing, he did not establish that he had a bona fide inability to pay or make a meaningful payment toward the award.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056490313 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Christoforidis (Respondent) General Securities Representative CRD No. 2841315 Pursuant to FINRA Rule 9216, Respondent John Christoforidis 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076685501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Darin Dunlap (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 3029958 Pursuant to FINRA Rule 9216, Respondent Michael Darin Dunlap submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.