BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Suzanne Marie Capellini, New York, New York, Respondent. DECISION Complaint No. 2020066627202 Dated: October 3, 2024. Registered representative provided false and misleading responses and an altered document in response to FINRA investigative requests and failed to establish and implement an anti-money laundering program reasonably designed to cause the detection and reporting of suspicious low-priced securities activity.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070498104 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Linda J. Wimsatt (Respondent) Former General Securities Representative CRD No. 1401802 Pursuant to FINRA Rule 9216, Respondent Linda J. Wimsatt 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. 2024081399101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Franzino (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 4734949 Pursuant to FINRA Rule 9216, Respondent John Franzino (Franzino) 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. 2023077080601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ACP Securities, LLC (Respondent) Member Firm CRD No. 139049 Pursuant to FINRA Rule 9216, Respondent ACP Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.