Between August 2021 and May 2024, Puente failed to disclose required mark-up and mark-down information on 1,379 retail customer confirmations in violation of FINRA Rules 2232 and 2010.

From June 2024 to April 2025, J. K. Financial willfully violated § 17(a)(1) of the Exchange Act and Exchange Act Rule 17a-14 and violated FINRA Rule 2010 by omitting required information on its Form CRS. From August 2020 to at least May 2024, J.K.