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Firms Fined, Individuals Sanctioned Reported for June 2018

1 Disciplinary and Other FINRA ActionsFirms Fined, Individuals Sanctioned Reef Securities, Inc. (CRD #31951, Richardson, Texas) and Paul Frank Mauceli Jr. (CRD #2330829, Garland, Texas)April 11, 2018 A Letter of Acceptance, Waiver and Consent (AWC) was issued in which the firm was censured and fined $40,000. Mauceli was fined $5,000 and suspended from association with any FINRA member in any principal capacity for four months. Without admitting or denying the findings, the firm and Mauceli consented to the sanctions and to the entry of findings that the firm, acting through Mauceli, the firm s president, failed to notify investors in a timely manner of a right of rescission following the issuance of an updated general partners audited balance sheet and approval of a revised prospectus.

4 Disciplinary and Other FINRA Actions cd2DR business days prior to their first use. Without admitting or denying the findings, the firm consented to the sanctions

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