FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TAVIC O. FRANCIS (CRD No. 6676717), Respondent. Disciplinary Proceeding No. 2023078168101 Hearing Officer–BDC DEFAULT DECISION September 30, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide documents and information requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Appearances For the Complainant: Jessica (Ji Eun) Kim, Esq., Eric M.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065141401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maxim Group LLC (Respondent) Member Firm CRD No. 120708 Pursuant to FINRA Rule 9216, Respondent Maxim Group LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.