FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061652403 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jonathan Craig Rich (Respondent) Former General Securities Principal and Investment Banking Principal CRD No. 2271478 Pursuant to FINRA Rule 9216, Respondent Jonathan Craig Rich submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071562601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Martin (Respondent) Former General Securities Representative CRD No. 3268675 Pursuant to FINRA Rule 9216, Respondent Jeffrey Martin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066756101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Michael Hallberg General Securities Representative CRD No. 3053755 Pursuant to FINRA Rule 9216, Respondent Thomas Michael Hallberg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.