FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056611801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel Robert Rozzi ("Rozzi"), Respondent Former Registered Representative CRD No. 5319858 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Daniel Robert Rozzi, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052424001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ross Sinclaire & Associates, LLC, Respondent Broker-Dealer CRD No. 25440 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ross Sinclaire & Associates, LLC ("Ross Sinclaire" 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. 2018057382001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Patrick Neal Foley, Respondent General Securities Representative CRD No. 6682164 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Patrick Neal Foley ("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. 2018061005101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rand A. Heckler, Respondent General Securities Representative CRD No. 2689235 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Rand A. Heckler ("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. BRIAN COLIN DOHERTY (CRD No. 2647950), Respondent. Disciplinary Proceeding No. 2015047005801 Hearing Officer-CC HEARING PANEL DECISION June 14, 2019 Respondent, a registered representative at an interdealer broker, intentionally engaged in a fraudulent, prearranged trading scheme to enable his customer, the trader of a proprietary account at another member firm, to evade that firm’s aged inventory

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Shawna Choate (CRD No. 2432397), Respondent. Disciplinary Proceeding No. 2016051209103 Hearing Officer ___ COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. In 2014 and 2015, respondent Shawna Choate falsified dozens of forms by using a stamp to affix a registered principal's signature to the forms, representing that the principal had reviewed and approved deposits

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051149101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frank H. Kelly, Respondent CRD No. 2028226 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Frank H. Kelly ("Kelly" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Windsor Street Capital, L.P., f/k/a Meyers Associates, L.P. (CRD No. 34171), Arthur Tacopino (CRD No. 2455892), Edwin Rodriguez (CRD No. 4710962), Respondents. DISCIPLINARY PROCEEDING No. 2016048912703 Hearing Officer-CC DEFAULT DECISION May 28, 2019 Respondent Arthur Tacopino willfully misused his firm's proprietary accounts to fraudulently allocate

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051569601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David John Strnad, Respondent CRD No. 1982721 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David John Strnad 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. 2018058651001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William Justin Poynter, Respondent General Securities Representative CRD No. 5342794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, William Justin Poynter ("Poynter"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement