Brad C. Brooks

06/08/2026: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 105624 / June 8, 2026 Admin. Proc. File No. 3-20387 In the Matter of the Application of TITAN SECURITIES and BRAD C. BROOKS For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING FINRA found, in relevant part, that the member firm and its owner willfully made misrepresentations regarding the contingency offering and released funds from escrow before raising the minimum offering amount, willfully failed to preserve certain documents, and failed to supervise registered representative's outside business activities. Held, FINRA's liability and sanctions findings are sustained in part and set aside in part.

06/02/2021: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Titan Securities Addison, TX, Brad C. Brooks Addision, TX, and Richard Wayne Demetriou Dunwoody, GA, Respondents. DECISION Complaint No. 2013035345701 Dated: June 2, 2021 Registered representative made material, false and misleading statements to customers, engaged in undisclosed, unapproved outside business activities,

10/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Titan Securities (CRD No. 131392), Brad C. Brooks (CRD No. 1584633), and Richard Wayne Demetriou (CRD No. 828433) Respondents. DISCIPLINARY PROCEEDING No. 2013035345701 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from July 2010 to October 2010, registered representative Richard Wayne Demetriou ("Demetriou"), while associated with Titan

03/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Titan Securities (CRD No. 131392), Brad C. Brooks (CRD No. 1584633), and Richard Wayne Demetriou (CRD No. 828433) Respondents. DISCIPLINARY PROCEEDING No. 2013035345701 Hearing Officer-RES EXTENDED HEARING PANEL DECISION March 5, 2019 Respondent Richard Wayne Demetriou, a registered representative employed by Respondent

Reference 2013035345701data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

01/16/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, \VAIVER, AND CONSENT NO. 2019062479102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brad C. Brooks (Respondent) Former General Securities Representative and General Securities Principal CRD No. 1584633 Pursuant to FINRA Rule 9216, Respondent Brad C. Brooks 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 the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019062479102data-portal.finra.orgfinra.org

05/22/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 200700/169401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brad C. Brooks General Securities Principal CRD No. 1584633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, and Brad C. Brooks ( and "Brooks," individually or "Respondents," collectively) submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2007007169401data-portal.finra.orgfinra.org