FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jose L. Centeno CRD No. 6368188, Respondent Disciplinary Proceeding No. 2020066079903 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2019 and September 2021, while associated with Canaccord Genuity LLC, Jose Centeno falsified firm records to show that he had reviewed 384 exception reports assigned to him in his capacity as a compliance officer when, in fact, he had not reviewed these exception reports.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077841801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gerald Michael Taylor (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5649838 Pursuant to FINRA Rule 9216, Respondent Gerald Michael Taylor 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. 2016051927501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Odeon Capital Group LLC (Respondent) Member Firm CRD No. 148493 Pursuant to FINRA Rule 9216, Respondent Odeon Capital Group LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.