WILFREDO FELIX, JR

11/25/2024: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 100553 / November 25, 2024 Admin. Proc. File No. 3-20380 In the Matter of the Application of WILFREDO FELIX For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING Principal of former FINRA member firm appeals from FINRA disciplinary action finding that he refused to comply with FINRA investigative requests, made false entries in the firm’s general ledger, and caused the firm to maintain inaccurate books and records and file inaccurate FOCUS reports. Held, FINRA’s findings of violations and imposition of sanctions are sustained in part and set aside in part.

05/26/2021: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Wilfredo Felix North Amityville, NY, Respondent. DECISION Complaint No. 2018058286901 Dated: May 26, 2021 Respondent failed to comply with FINRA Rule 8210 requests and falsified expense entries, causing his member firm to maintain inaccurate books and records and file inaccurate FOCUS reports. Held, findings and sanctions affirmed, in relevant part. Appearances

07/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILFREDO FELIX (CRD No. 2693672) and PRIMEX PRIME ELECTRONIC EXECUTION, INC. d/b/a PRIMEX (CRD No. 29394), Respondents. Disciplinary Proceeding No. 2018058286901 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION July 1, 2020 Respondent Wilfredo Felix is barred in all capacities for failing to provide a personal tax-related document during the investigation of this matter. Felix and Primex made and preserved inaccurate

07/01/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Wilfredo Felix (CRD No. 2693672) and Primex Prime Electronic Execution, Inc. d/b/a Primex (CRD No. 29394) Respondents. Disciplinary Proceeding No. 2018058286901 Hearing Officer: COMPLAINT The Department of Enforcement ("Enforcement") alleges: I. SUMMARY 1. From January 2013 to December 2015, Wilfredo Felix--the Chief Executive Officer, Chief Financial Officer,

Reference 2018058286901data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

08/06/2024: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 100662 / August 6, 2024 Admin. Proc. File No. 3-21246 In the Matter of the Application of WILFREDO FELIX for Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Principal of former FINRA member firm appeals from FINRA disciplinary action finding that he failed to comply with FINRA investigative requests. Held, FINRA’s findings of violations and imposition of sanctions are sustained.

12/03/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Wilfredo Felix CRD No. 2693672, Respondent. Disciplinary Proceeding No. 2020065128501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent WIlfredo Felix failed to provide information and documents that FINRA staff requested pursuant to FINRA Rule 8210. As a result, Felix violated FINRA Rules

04/27/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, , Complainant v. WILFREDO FELIX (CRD No. 2693672), Respondent. Disciplinary Proceeding No. 2020065128501 Hearing Officer–BEK DEFAULT DECISION April 27, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide documents and information requested by FINRA, in violation of FINRA Rules 8210 and 2010.

Reference 2020065128501finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.org

10/13/2022: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Wilfredo Felix, Jr. North Amityville, NY, Respondent. DECISION Complaint No. 2020065128501 Dated: October 13, 2022 Respondent failed to respond to multiple FINRA Rule 8210 requests. Held, findings and sanction affirmed. Appearances For the Complainant: Megan P. Davis, Esq., Karen C. Daly, Esq., and Keven Hartzell, Esq., Department of Enforcement, Financial Industry

Reference 2020065128501data-portal.finra.orgfinra.org