FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Henry Clay Smith II CRD No. 1736102, Respondent. Disciplinary Proceeding No. 2019062898303 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 30, 2013, and December 18, 2020, Respondent Henry Clay Smith II, the chief executive officer and chief compliance officer of Supreme Alliance, LLC, failed to develop a written Identity Theft Prevention Program reasonably designed to detect

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065678101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Louis M. Olave (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5904834 Pursuant to FINRA Rule 9216, Respondent Louis M. Olave submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.