FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063821605 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas J. Rosenberg (Respondent) General Securities Representative CRD No. 3214215 Pursuant to FINRA Rule 9216, Respondent Douglas J. Rosenberg 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. 2019060648802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert P. Foley (Respondent) Former General Securities Principal and General Securities Representative CRD No. 6060234 Pursuant to FINRA Rule 9216, Respondent Robert P. Foley 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Igor Peter Kislitsa CRD No. 6324794, Respondent. Disciplinary Proceeding No. 2020067014602 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Igor Peter Kislitsa failed to respond to two FINRA staff requests for information and documents made pursuant to FINRA Rule 8210. As a result, Kislitsa violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Kislitsa first registered