FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061329901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ian E. James (Respondent) General Securities Representative CRD No. 2602300 Pursuant to FINRA Rule 9216, Respondent Ian E. James 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. 2020065035202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pasquale James Rappa (Respondent) General Securities Representative and General Securities Principal CRD No. 5901386 Pursuant to FINRA Rule 9216, Respondent Pasquale James Rappa submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purposes of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068312201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Anthony Guidicipietro (Respondent) General Securities Representative CRD No. 1588069 Pursuant to FINRA Rule 9216, Respondent Robert Anthony Guidicipietro 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. 2021072373401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jesus Rodriguez (Respondent) Former General Securities Representative CRD No. 4888685 Pursuant to FINRA Rule 9216, Respondent Jesus Rodriguez submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.