Between October 2020 and July 2023, while registered with FINRA through an association with Robinhood Financial and Robinhood Securities (collectively, Robinhood), Rosamond engaged in an outside business activity involving an investment club formed as a limited liability company without providing prior written notice to Robinhood, in violation of FINRA Rules 3270 and 2010. Additionally, in connection with the outside business activity, Rosamond traded securities on behalf of the company, without providing prior written notice to Robinhood, in violation of FINRA Rules 3280 and 2010.

Between October 2021 and October 2023, while associated with Fidelity, Hagos failed to obtain written consent from Fidelity to maintain an outside securities account at another member firm. As a result, Hagos violated FINRA Rules 3210 and 2010.

From July 2017 to October 2022, while associated with Centaurus Financial, Martin participated in private securities transactions related to a private offering of common stock issued by a licensed cannabis-related company that he co-founded and for which he served as a board member and executive officer. Martin's private securities transactions involved the sale of $4,436,381 of company stock to 106 investors. By participating in private securities transactions without prior approval from his firm, Martin violated FINRA Rules 3280 and 2010.