FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Matthew R. Logan (CRD No. 5366984), Respondent. Disciplinary Proceeding No. 2019063570502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In October 2018, Matthew R. Logan, while a registered representative at Homor, Townsend & Kent, LLC (HTK or Firm), cheated on his FINRA Regulatory Element continuing education exam by directing his Assistant, a person associated with HTK, to complete the exam on his behalf.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062207301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Leroy Whittaker (Respondent) Former General Securities Representative CRD No. 831764 Pursuant to FINRA Rule 9216, Respondent Stephen Leroy Whittaker submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond James & Associates, Inc., Respondent Member Firm CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Raymond James & Associates, Inc. (Raymond James or the firm) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.