FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065022801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tyrone M. Smiles (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4370937 Pursuant to FINRA Rule 9216, Respondent Tyrone Smiles 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. 2019064823601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William W. LeBoeuf (Respondent) Former General Securities Representative CRD No. 2464080 Pursuant to FINRA Rule 9216, Respondent William W. LeBoeuf 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. 2018058820103 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: McNally Financial Services Corporation (Respondent) Member Firm CRD No. 121196 Pursuant to FINRA Rule 9216, Respondent McNally Financial Services Corporation (MFS) 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. 2019064432901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Murray Todd Petersen, Respondent Former General Securities Representative and former General Securities Principal CRD No. 1311730 Pursuant to FINRA Rule 9216, Respondent Murray Todd Petersen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070667501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Caroline Mohan (Respondent) Former General Securities Representative (GSR) CRD No. 2429577 Pursuant to FINRA Rule 9216, Respondent Caroline Mohan 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063101801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Minh Duc Vo (Respondent) Former General Securities Representative CRD No. 5114922 Pursuant to FINRA Rule 9216, Respondent Minh Vo 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