FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Howell Poff (CRD No. 4078570), Respondent. DISCIPLINARY PROCEEDING NO. 2018058501502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2016 through February 2018, while registered with FINRA through LPL Financial LLC, Jason Howell Poff engaged in two undisclosed and unapproved outside business activities (OBAs) through a business that he owned and operated. In February 2016,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066775501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jaime I. Sanchez Rivera, Respondent Former General Securities Principal Former General Securities Representative CRD No. 6013022 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jaime I. Sanchez Rivera ("Sanchez") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.