FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056432604 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Henry Bones II (Respondent) General Securities Principal CRD No. 4673109 Pursuant to FINRA Rule 9216, Respondent Henry Bones II 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 will not

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FRANK V. SAPARETO (CRD No. 2274877), Respondent. Disciplinary Proceeding No. 2018060379701 Hearing Officer-MJD DEFAULT DECISION August 9, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for providing false or misleading testimony and written information during a FINRA investigation and for engaging in an undisclosed outside business activity.