FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074280901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Anthony Riposo (Respondent) Former General Securities Representative and General Securities Principal CRD No. 400056 Pursuant to FINRA Rule 9216, Respondent Philip Anthony Riposo 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. 2020066952201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Tayib Lund (Respondent) Former General Securities Representative CRD No. 6504480 Pursuant to FINRA Rule 9216, Respondent John Tayib Lund 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. 2021070733401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Wayne Mooney (Respondent) Former Investment Company Products Variable Contracts Representative CRD No. 5230596 Pursuant to FINRA Rule 9216, Respondent Robert Wayne Mooney ("Mooney") submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.