FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071384201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew Priester (Respondent) Non-Registered Fingerprint Person CRD No. 7338683 Pursuant to FINRA Rule 9216, Respondent Matthew Priester 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061329901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ian E. James (Respondent) General Securities Representative CRD No. 2602300 Pursuant to FINRA Rule 9216, Respondent Ian E. James 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. 2020065035202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pasquale James Rappa (Respondent) General Securities Representative and General Securities Principal CRD No. 5901386 Pursuant to FINRA Rule 9216, Respondent Pasquale James Rappa submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purposes of proposing a settlement of the alleged rule violations described below.