BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robbi J. Jones Houston, TX, and Kipling Jones & Company., Ltd. Houston, TX, Respondents. DECISION Complaint No. 2015044782401 Dated: December 17, 2020 Respondent firm and its president filed materially inaccurate FOCUS reports and created inaccurate books and records. Respondent president

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061947401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Neal Scott (Respondent) Former General Securities Representative CRD No. 1038348 Pursuant to FINRA Rule 9216, Respondent Neal Scott submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Kapil Maheshwari Clark, NJ, Respondent. DECISION Complaint No. 2017055608101 December 17, 2020 Respondent misused confidential information concerning a corporate acquisition. Held, findings and sanctions affirmed. Appearances For the Complainant: Michael Rogal, Esq., Samir Ranade, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: Robert Heim, Esq.