FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064231901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sandeep Jain (Respondent) Former Associated Person CRD No. 7417503 Pursuant to FINRA Rule 9216, Respondent Sandeep Jain submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.