FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. VINCENT JOSEPH STORMS (CRD No. 4969537), Respondent. DISCIPLINARY PROCEEDING NO. 2017053982801 Hearing Officer-MJD DEFAULT DECISION July 3, 2019 Respondent Vincent Joseph Storms falsified firm branch a

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056845801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jollene J. Austin, Respondent General Securities Representative CRD No. 2997663 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 violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060634302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lisa Acca, Respondent Former General Securities Representative Former General Securities Principal CRD No. 4661358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lisa Acca, ("Acca") submit 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. 2018058666001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steve Baptist, Respondent Registered Representative CRD No. 5885870 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Steve Baptist ("Baptist"), 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. 2016050134502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eldridge F. Parks ("Parks" or "Respondent") Former Registered Representative CRD No. 1041447 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058564001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ken Kavanagh, Respondent General Securities Representative, CRD No. 4502223 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Ken Kavanagh ("Kavanagh" 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. Alpine Securities Corporation (CRD No. 14952), Respondent. Temporary Cease and Desist Proceeding No. TCDO190001 Hearing Officer-LOM TEMPORARY CEASE AND DESIST CONSENT ORDER Based upon the parties' consent, the Hearing Panel issues this Temporary Cease and Desist Consent Order ("Order") pursuant to FINRA Rule 9840. It is understood and agreed by all the undersigned that the parties'

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062404601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David J. Volpe, Respondent CRD No. 2543478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David J. Volpe submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056290001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dawson James Securities, Inc., Respondent Member Firm CRD No. 130645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Dawson James Securities, Inc. ("Dawson James" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056269001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA";) RE: Matthew Albers, Respondent Registration Status: General Securities Representative CRD No. 2917814 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Matthew Albers, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule