FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064386701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nancy A. Munro Gaumer (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 1606316 Pursuant to FINRA Rule 9216, Respondent Nancy A. Munro Gaumer 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071245401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas W. Stratton (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1646899 Pursuant to FINRA Rule 9216, Respondent Thomas W. Stratton 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. 2019063334201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason L. Seale III (Respondent) General Securities Representative CRD No. 1874548 Pursuant to FINRA Rule 9216, Respondent Jason L. Seale III 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