FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adam James Makkai (CRD No. 4025159), Respondent. DISCIPLINARY PROCEEDING No. 2018058924502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2017 and March 2018 (the "Relevant Period"), Adam James Makkai improperly shared approximately $27,000 in commissions with an unregistered person.

NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050003783-01 TO: Department of Enforcement NASD RE: Thomas G. Carr, Respondent General Securities Representative CRD No. 2063529 Pursuant to Rule 9216 of NASD Code of Procedure, I, Thomas G. Carr ("Carr"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future