X0405 TA-1/A 0001455353 XXXXXXXX 084-06347 LIVE SEC West Coast Stock Transfer Inc. 339846 721 N. VULCAN AVE. STE. 106 ENCINITAS CA 92024 N 619-664-4780 N N N Y 1TRANSFER, LLC 084-06633 720 N. POST OAK RD. STE 400 HOUSTON TX 77024 Corporation FRANK EDWARD BRICKELL 01/23/2009 PRESIDENT AND DIRECTOR E true MICHAEL EDWARD TOBLER 10/28/2019 SECRETARY AND DIRECTOR NA true N N N N N N N N N N N N N N Y Frank Edward Brickell Order of Revocation, Illinois Securities Department File No. 1300385 04/07/2014 Illinois Secretary of State, Securities Department On November 12, 2013, the Illinois Securities Department issued a Notice of Hearing to revoke Frank Edward Brickell's Illinois salesperson registration under Section 8.E(1)(j) of the Illinois Securities Law of 1953, based solely on his FINRA suspension under AWC No. 2010022543701 (described in 10(e)). The action did not involve any conduct in Illinois or any Illinois residents. Mr. Brickell did not contest the proceeding because of the time and expense of a hearing. The Order of Revocation is final. N N Y FRANK EDWARD BRICKELL Complaint, FINRA Disciplinary Proceeding No. 2005000075703 03/31/2008 Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization FINRA's Department of Enforcement alleged that, from August 2004 through March 2005, Frank Edward Brickell, as a registered representative of World Trade Financial Corporation, sold unregistered shares on behalf of customers in violation of Section 5 of the Securities Act of 1933 and NASD Rule 2110. A FINRA Hearing Panel found the violations in a decision dated May 1, 2009, amended May 12, 2009. The National Adjudicatory Council affirmed on March 3, 2011, the SEC sustained the findings and sanctions on January 6, 2012, and the U.S. Court of Appeals for the Ninth Circuit denied review on January 16, 2014. Final April 16, 2014. Fined $15,000; suspended in all capacities for 30 business days (May 19 - June 30, 2014); costs of $7,661.68 jointly and severally. See 10(e)(4). FRANK EDWARD BRICKELL Letter of Acceptance, Waiver and Consent No. 2010022543701 03/08/2013 Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization Without admitting or denying the findings, Frank Edward Brickell consented to findings that World Trade Financial Corporation, acting through him as registered representative of record and Chief Compliance Officer, sold unregistered penny stock of at least twelve issuers on behalf of a customer in contravention of Section 5 of the Securities Act of 1933, and violated FINRA Rules 2010 and 3310(a) and NASD Rules 3010, 3011(a), and 3012, including deficiencies in supervisory and anti-money laundering procedures. Fined $40,000 and suspended from association with any FINRA member in any capacity for nine months (August 9, 2013 through May 8, 2014). See 10(e)(4). N Y FRANK EDWARD BRICKELL FINRA Disciplinary Proceeding No. 2005000075703 04/16/2014 Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization Suspension from association with any FINRA member in any capacity for 30 business days (May 19 through June 30, 2014), imposed in the proceeding described in 10(e)(2), Record 1. Final FRANK EDWARD BRICKELL AWC No. 2010022543701 03/08/2013 Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization Suspension from association with any FINRA member in any capacity for nine months (August 9, 2013 through May 8, 2014), imposed in the AWC described in 10(e)(2), Record 2. Final FRANK EDWARD BRICKELL Revocation under FINRA Rule 8320 04/10/2015 Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization Pursuant to FINRA Rule 8320, FINRA revoked the registration of Frank Edward Brickell as of the close of business on April 10, 2015, for failure to pay fines and/or costs of $15,000 in FINRA Case No. 2005000075703. Final N N N N FRANK BRICKELL 619-664-4783 PRESIDENT 10/15/2026