FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064312902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Jerome Rice (Respondent) Former General Securities Representative and General Securities Principal CRD No. 2103354 Pursuant to FINRA Rule 9216, Respondent Brian Jerome Rice 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. 2020065314401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian S. Pearce, Respondent Former General Securities Representative CRD No. 1334784 Pursuant to FINRA Rule 9216, Respondent Brian S. Pearce 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BLAIR OLSEN (CRD No. 1545765), Respondent. Disciplinary Proceeding No. 2018058798802 Hearing Officer–MC AMENDED DEFAULT DECISION1 October 29, 2021 Respondent Blair Olsen is barred from associating with any FINRA member firm in any capacity for (i) failing to provide information and documents; and (ii) failing to give on-the-record testimony. Because of the bar, no additional sanctions are imposed for