FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074015901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen S. Gladstone (Respondent) Former General Securities Principal and General Securities Representative CRD No. 222612 Pursuant to FINRA Rule 9216, Respondent Stephen S. Gladstone 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,

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fusion Analytics Securities, LLC, CRD No. 124245, Respondent. Disciplinary Proceeding No. 2018059545604 Hearing Officer—DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 8, 2022 INTRODUCTION Disciplinary Proceeding No. 2018059545604 was filed on March 7, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Fusion Analytics Securities, LLC submitted an Offer of Settlement (Offer) to Complainant dated April 4, 2022.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071714401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Adam Petersen Summers (Respondent) Former General Securities Representative CRD No. 5587343 Pursuant to FINRA Rule 9216, Respondent Adam Petersen Summers 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,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062180701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert David, Jr. (Respondent) Former General Securities Representative CRD No. 5211223 Pursuant to FINRA Rule 9216, Respondent Robert David, Jr. 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065274801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jay S. Sheth (Respondent) General Securities Representative CRD No. 4656009 Pursuant to FINRA Rule 9216, Respondent Jay S. Sheth submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.