BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Adam James Makkai Castle Rock, CO, Respondent. DECISION Complaint No. 2018058924502 Dated: January 6, 2023 Registered representative paid securities transaction-based compensation to an unregistered person. Held, findings affirmed, and sanctions modified. Appearances For the Complainant: John R. Baraniak, Esq., Jennifer L. Crawford, Esq., Michael Manning, Esq., Department of Enforcement,

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070766201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sequence Financial Specialists LLC (Respondent) Member Firm CRD No. 132915 Pursuant to FINRA Rule 9216, Respondent Sequence Financial Specialists LLC (Sequence Financial) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054852001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Blaylock Van, LLC (Respondent) Member Firm CRD No. 145317 Pursuant to FINRA Rule 9216, Respondent Blaylock Van, LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.