FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Ciro Colletti CRD No. 4577898, Respondent. Disciplinary Proceeding No. 2019061942901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2017 and February 2019, while associated with The Investment Center, Inc. (CRD No. 17839) (“ICI” or the “Firm”), Respondent Michael Ciro Colletti placed 73 trades with total principal value of approximately $157,231 in the account of an elderly customer without the customer’s prior authorization.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070418202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Quint Capital Corporation (Respondent) Member Firm BD No. 26586 Alexander Quint (Respondent) General Securities Principal CRD No. 1012135 Pursuant to FINRA Rule 9216, Respondents Quint Capital Corporation (QCC) and Alexander Quint (Quint) submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.