FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070686301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jonathan A. Stuffer (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6015954 Pursuant to FINRA Rule 9216, Respondent Jonathan A. Stuffer 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. 2021071847701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Martin Beasley (Respondent) General Securities Representative CRD No. 1750089 Pursuant to FINRA Rule 9216, Respondent William Martin Beasley 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. 2022073728601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Winslow (Respondent) Former General Securities Representative CRD No. 3071933 Pursuant to FINRA Rule 9216, Respondent John Winslow 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. 2020066345701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher J. Passero (Respondent) Investment Company and Variable Contracts Products Representative and General Securities Representative CRD No. 2517681 Pursuant to FINRA Rule 9216, Respondent Christopher J. Passero submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,