FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL HOEFLINGER (CRD No. 7602554), Respondent. Disciplinary Proceeding No. 2023078202201 Hearing Officer–LOM DEFAULT DECISION November 26, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failure to provide information and documents requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Appearances For the Complainant: Justin W. Arnold, Esq., Thomas R. Crimer, Esq., John R.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EUGENE H. KIM (CRD No. 2264940), Respondent. Disciplinary Proceeding No.