FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven Robert Luftschein (CRD No. 2690117), Respondent. Disciplinary Proceeding No. 2016051704303 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Steven Robert Luftschein, while associated with Aegis Capital Corp. ("Aegis" or the "Firm"), a FINRA-regulated broker-dealer, churned and excessively traded the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058804301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sune Gaulsh, Respondent Former General Securities Representative CRD No. 5797295 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Sune Gaulsh submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.