FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2023077591501 Department of Enforcement, Complainant, v. Gary Francis Harpe, CRD No. 2983634, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY Respondent Gary Francis Harpe failed to respond to three FINRA requests for information and documents made pursuant to FINRA Rule 8210 and in connection with FINRA’s investigation into the circumstances surrounding Harpe’s termination from his FINRA member firm.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071986401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TD Ameritrade, Inc. (Respondent) Member Firm CRD No. 7870 Pursuant to FINRA Rule 9216, Respondent TD Ameritrade, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.