FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071289801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Patrick Barton III (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6908590 Pursuant to FINRA Rule 9216, Respondent Thomas Patrick Barton III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Keith Todd Ashley CRD No. 4096004, Respondent. Disciplinary Proceeding No. 2020068470002 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Keith Ashley failed to respond to requests for information that FINRA made pursuant to FINRA Rule 8210

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066438301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rodney Deleths Washington (Respondent) Former General Securities Representative CRD No. 1275777 Pursuant to FINRA Rule 9216, Respondent Rodney Deleths Washington (Washington) submits this Letter of Acceptance, 'Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.