BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Silver Leaf Partners, LLC New York, NY, Respondent. Decision Complaint No. 2014042606902 Dated: June 29, 2020 Member firm failed to establish and maintain a supervisory system reasonably designed to achieve compliance with applicable securities laws, regulations, and FINRA rules, and paid transaction-based compensation to nonmember brokers. Held, findings affirmed and sanctions modified.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Peter Tranchina CRD No. 5657849, Respondent. ‭Disciplinary Proceeding No. 2018058588501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Hours after member firm Homer, Townsend & Kent (“HTK”) fired Christopher Peter Tranchina and instructed him not to return to the office, Tranchina broke into his locked Office and stole client-related files belonging to HTK and its affiliated

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062084002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory A. Ricker, Respondent General Securities Representative CRD No. 1834893 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gregory A. Ricker ("Ricker" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.