FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David R. Oakes CRD No. 1465154, Respondent. Disciplinary Proceeding No. 2018057755201 Hearing Officer - DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 9, 2020 INTRODUCTION Disciplinary Proceeding No. 2018057755201 was filed on March 11, 2020, by the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059035701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Michael Wesselt, Respondent CRD No. 2195569 Pursuant to FINRA Rule 9216, Respondent Richard Michael Wesselt submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.