FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070745701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Garrett Caplin (Respondent) Former General Securities Representative CRD No. 5968832 Pursuant to FINRA Rule 9216, Respondent Garrett Caplin 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. 2021072169601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Campopiano (Respondent) General Securities Representative CRD No. 4357852 Pursuant to FINRA Rule 9216, Respondent Michael Campopiano 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory Scott Hanshew, CRD No. 2624600, Respondent. Disciplinary Proceeding No. 2021071060902 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Gregory Scott Hanshew failed to provide a complete response to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210 in April, May, June and August 2021. As a result, Hanshew violated FINRA Rules 8210 and 2010.