BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Bradley C. Reifler New York, NY, Respondent. DECISION Complaint No. 2016050924601 Dated: September 30, 2019 Respondent failed to respond to FINRA information requests. Held, findings and sanctions affirmed. Appearances For the Complainant: Matthew M. Ryan, Esq., Leo F. Orenstein, Esq.,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055886401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Victor Polakoff, Respondent Former General Securities Representative, General Securities Principal, Municipal Securities Principal, Investment Banking Representative, Operations Professional, and Registered Options Principal CRD No.