FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060648801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Craig J. Sherman (Respondent) Former General Securities Principal, Operations Professional, and General Securities Representative CRD No. 5670193 Pursuant to FINRA Rule 9216, Respondent Craig J. Sherman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations