BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Parthos S. Ghosh Princeton, New Jersey, Respondent. DECISION Complaint No. 2016051615301 Dated: December 16, 2021 Registered representative engaged in outside business activities without providing prior written notice to his member firm. Held, findings affirmed, sanctions modified.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Thomas John Lykos, Jr. Houston, Texas, Respondent. DECISION Complaint No. 2018059510201 Dated: December 16, 2021 Registered representative acted unethically by cheating on a qualification examination and violating the Rules of Conduct governing examinations. Held, findings and sanctions affirmed.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Della Rosa CRD No. 2468171, respondent. Disciplinary Proceeding No. 2020065714602 Hearing Officer—DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 16, 2021 Disciplinary Proceeding No. 2020065714602 was filed on November 23, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Daniel Della Rosa submitted an Offer of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066408902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Daniel Quinn (Respondent) Former General Securities Representative CRD No. 2576416 Pursuant to FINRA Rule 9216, Respondent John Daniel Quinn submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.