FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063910001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey A. Bogart, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2049796 Pursuant to FINRA Rule 9216, Respondent Jeffrey A. Bogart 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. 2019063152201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tyler J. Forbes (Respondent) Former General Securities Representative CRD No. 6503609 Pursuant to FINRA Rule 9216, Respondent Tyler J. Forbes 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, if accepted, FINRA

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072162901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William J. Michero (Respondent) Former General Securities Representative CRD No. 4617645 Pursuant to FINRA Rule 9216, Respondent William J. Michero 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072416801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald S. Daley (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 4682165 Pursuant to FINRA Rule 9216, Respondent Ronald S. Daley 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. 2021069221201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christine J. Troxel (Respondent) Former Associated Person CRD No. 7167887 Pursuant to FINRA Rule 9216, Respondent Christine J. Troxel 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,