FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059735201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fortino R. Rivera, Respondent General Securities Representative CRD No. 6358600 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Fortino R. Rivera ("Rivera" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054329501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc. CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("CGMI," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055914801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Emie Garcia, Respondent Former Registered Representative CRD No. 6329782 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061057001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aaron Williams, Respondent General Securities Representative CRD No. 6672540 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Aaron Williams ("Williams" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Louis Mark Miller (CRD No. 3054955), Respondent. Disciplinary Proceeding No. 2017056829901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March 2018, Enforcement initiated an investigation into allegations that Louis Mark Miller (“Miller"), a General Securities Representative with LPL Financial LLC (“LPL" or the “Firm”), a FINRA regulated

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055021201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fred Brown, Respondent Former Registered Representative CRD No. 1175385 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Fred Brown ("Brown"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053375801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Michael Whiting, Respondent CRD No. 1752042 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stephen Michael Whiting ("Whiting" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057561201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Gregory DiJulio, Respondent General Securities Principal CRD No. 1647694 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brian Gregory DiJulio, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055858301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Larry Michael Crabtree, Respondent General Securities Representative CRD No. 2479599 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Larry Michael Crabtree ("Crabtree"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058614201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mijin Kim, Respondent Former Non-Registered Fingerprint Person CRD No. 6799926 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule