FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068810301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Patrick Miller (Respondent) General Securities Representative CRD No. 5889623 Pursuant to FINRA Rule 9216, Respondent John Patrick Miller 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. 2020066078202 TO : Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Emerson Equity, LLC (Respondent) Member Firm CRD No. 130032 Dominic Julio Baldini (Respondent) General Securities Principal CRD No. 3082081 Pursuant to FINRA Rule 9216, Respondents Emerson Equity, LLC and Dominic Julio Baldini submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063886401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Alan Kaufman (Respondent) Former General Securities Representative CRD No. 2047445 Pursuant to FINRA Rule 9216, Respondent Scott Alan Kaufman 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. 2019064126801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John A. Luppo (Respondent) Former General Securities Principal and Former General Securities Representative CRD No. 2252928 Pursuant to FINRA Rule 9216, Respondent John A. Luppo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065035203 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Randall Martinson (Respondent) Former General Securities Representative and General Securities Principal CRD No. 2509952 Pursuant to FINRA Rule 9216, Respondent Scott Randall Martinson 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. 2017054878001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GBM International, Inc. (Respondent) Member Firm CRD No. 28684 Pursuant to FINRA Rule 9216, Respondent GBM International, Inc. (GBM) 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,