Dreamfunded Marketplace LLC

02/23/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. DreamFunded Marketplace, LLC (CRD No. 283594), and Manuel Fernandez (CRD No. 6639970), Respondents. DISCIPLINARY PROCEEDING NO. 2017053428201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Responded DreamFunded Marketplace, LLC (“DreamFunded”), a former FINRA funding portal member controlled by Respondent Manuel Fernandez, violated numerous SEC Regulation Crowdfunding

08/03/2026: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 106028 / August 3, 2026 Admin. Proc. File No. 3-20639 In the Matter of the Application of DREAMFUNDED MARKETPLACE, LLC and MANUEL FERNANDEZ For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING FINRA found that a former funding portal member and its owner failed to respond fully and completely to requests for information; made false, exaggerated, and misleading statements to investors; and failed to meet their gatekeeping, investor protection, and supervisory obligations. For these violations, FINRA imposed three expulsions on the firm from funding portal membership and three bars on the owner from associating with a funding portal member. Held, FINRA’s findings of violations are sustained, and FINRA’s findings of sanctions are sustained in part and set aside in part.

09/27/2021: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. DreamFunded Marketplace, LLC San Francisco, CA, and Manuel Fernandez San Francisco, CA, Respondents. DECISION Complaint No. 2017053428201 Dated: September 27, 2021 DreamFunded Marketplace and Fernandez: (1) failed to respond fully and completely to FINRA’s request for information and documents; (2) failed to deny an issuer’s access to the funding portal when the issuer’s

06/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DREAMFUNDED MARKETPLACE, LLC (CRD No. 283594), and MANUEL FERNANDEZ (CRD No. 6639970), Respondents. Disciplinary Proceeding No. 2017053428201 Hearing Officer-LOM EXTENDED HEARING PANEL DECISION June 5, 2019 Respondent DreamFunded Marketplace, LLC, was registered with FINRA as a funding portal member, and its co-founder and Chief Executive Officer, Respondent Manuel Fernandez, was an associated

Reference 2017053428201data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org