FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Marco Antonio Rivera CRD No. 7003078, Respondent. Disciplinary Proceeding No. 2020068740302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Marco Antonio Rivera failed to provide a complete response to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210 in February 2021. As a result, Rivera violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066887201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Joseph Graziano (Respondent) General Securities Principal CRD No. 2862096 Pursuant to FINRA Rule 9216, Respondent Anthony Joseph Graziano submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel J. O’Neill (CRD No. 1358245), Respondent. DISCIPLINARY PROCEEDING NO. 2021070337301 Hearing Officer — RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 6, 2021 INTRODUCTION Disciplinary Proceeding No. 2021070337301 was filed on July 29, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Daniel J. O’Neill submitted an Offer