SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 99596 / February 23, 2024 Admin. Proc. File No. 3-20646 In the Matter of the Application of THOMAS LEE JOHNSON For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Associated person of FINRA member firm converted funds mistakenly placed in his personal account. Held, FINRA’s findings of violation and sanction are sustained. APPEARANCES: Jon-Jorge Aras, of Levan Legal LLC, for Thomas Lee Johnson.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. NYPPEX, LLC, Laurence Allen, and Michael Schunk, Rye Brook, NY, Respondents. DECISION Complaint No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024083243101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maria De Los Angeles Leon (Respondent) Former General Securities Representative CRD No. 6042515 Pursuant to FINRA Rule 9216, Respondent Maria De Los Angeles Leon 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. 2024082753901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Martin (Respondent) Former General Securities Representative CRD No. 2928678 Pursuant to FINRA Rule 9216, Respondent James A. Martin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 100662 / August 6, 2024 Admin. Proc. File No. 3-21246 In the Matter of the Application of WILFREDO FELIX for Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Principal of former FINRA member firm appeals from FINRA disciplinary action finding that he failed to comply with FINRA investigative requests. Held, FINRA’s findings of violations and imposition of sanctions are sustained.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 100553 / July 18, 2024 Admin. Proc. File No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081953701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher J. Booher (Respondent) Former Associated Person CRD No. 7645159 Pursuant to FINRA Rule 9216, Respondent Christopher J. Booher submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.