FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047215403 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carlos Ricardo Fuenmayor, Respondent Former General Securities Representative and General Securities Principal CRD No. 4055839 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. 2019061592601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James F. Anderson, Respondent Registered Representative CRD No. 4803514 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038502101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nomura Securities International, Inc., Respondent Broker-Dealer CRD No. 4297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Nomura Securities International, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054678101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Curtis Ile, Respondent CRD No. 4009787 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. 2017056532001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alberto Sanchez, Respondent General Securities Representative CRD No. 4577983 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alberto Sanchez ("Sanchez" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059752401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael L. Carter, Respondent Former Investment Company Products/Variable Contracts Representative CRD No. 2882478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michael L. Carter, 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. 2019062162101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Benjamin Frank Bourgeois, Jr., Respondent Former Registered Representative CRD No. 2145555 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Benjamin Frank Bourgeois, Jr., ("Bourgeois"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Southeast Investments, N.C., Inc. Charlotte, North Carolina, and Frank Harmon Black Rock Hill, South Carolina, Respondents. DECISION Complaint No. 2014039285401 Dated: May 23, 2019 A Hearing Panel found that a member and its president testified falsely during an on-the-record interview; provided FINRA with fabricated documents: failed to retain

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055821401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Robert L. Harger, Jr., Respondent General Securities Representative, General Securities Principal, Municipal Securities Representative, Municipal Securities Principal, and Operations Professional CRD No. 863069 Christopher Michael Dowden, Respondent Financial and Operations Principal, General Securities Representative,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059770401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Anthony Bastardi, Respondent CRD No. 6015424 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michael Anthony Bastardi ("Respondent" or "Bastardi") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing