FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SUZANNE MARIE CAPELLINI (CRD No. 1357703), Respondent. Disciplinary Proceeding No. 2020066627202 Hearing Officer–DDM EXTENDED HEARING PANEL DECISION July 14, 2023 Respondent Suzanne Marie Capellini provided false and misleading responses and an altered document to FINRA’s investigative requests. For this misconduct, Capellini is barred from associating with a FINRA member firm in any capacity.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072863901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph F. Bartosiewicz Jr. (Respondent) Former General Securities Representative CRD No. 718185 Pursuant to FINRA Rule 9216, Respondent Joseph Bartosiewicz 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. 2022075867001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Drew Stegman (Respondent) General Securities Representative CRD No. 7424494 Pursuant to FINRA Rule 9216, Respondent Drew Stegman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 97860 / July 10, 2023 Admin. Proc. File No. 3-20126 In the Matter of the Application of MICHAEL JOSEPH CLARKE For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING FINRA found that person associated with member firm converted funds, made material misrepresentations, and issued bad checks; barred him for his violations of FINRA rules; and ordered restitution. Held, FINRA’s findings of violation