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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Codes of Arbitration Procedure to add new FINRA Rules 12808 and 13808 (Accelerated Processing) to accelerate the processing of arbitration proceedings for parties who qualify based on their age or health condition.

2023078027501 Saraie Dorgilles CRD 7581212 AWC lp (2025-1736554803211).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078027501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Saraie Dorgilles (Respondent) Former Associated Person CRD No. 7581212 Pursuant to FINRA Rule 9216, Respondent Saraie Dorgilles submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065154601 Arlington Securities, Inc. CRD 19596 and Robert Earl Hillard CRD 1005606 AWC lp (2025-1736554803209).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065154601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arlington Securities, Inc. (Respondent) Member Firm CRD No. 19596 Robert Earl Hillard (Respondent) General Securities Representative CRD No. 1005606 Pursuant to FINRA Rule 9216, Respondents Arlington Securities, Inc. and Robert Earl Hillard submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076459307 Jack David Faller CRD 1883661 AWC vr (2025-1736554803195).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076459307 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jack David Faller (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 1883661 Pursuant to FINRA Rule 9216, Respondent Jack David Faller submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019060753510 Sean P. McCabe CRD 5479643 AWC lp (2025-1736554803176).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060753510 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean P. McCabe (Respondent) General Securities Representative CRD No. 5479643 Pursuant to FINRA Rule 9216, Respondent Sean P. McCabe submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.