FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020067610801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Jose Luis Batalla, Respondent Investment Company and Variable Contracts Products Representative CRD No. 4140971 Pursuant to FINRA Rule 9216, Respondent Jose Luis Batalla 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016051704306 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph. Michael Giordano (Respondent) General Securities Principal CRD No. 2278341 Roberto Birardi (Respondent) General Securities Principal CRD No. 4737649 Pursuant to FINRA Rule 9216, Respondents Joseph Michael Giordano (Giordano) and Roberto Birardi (Birardi). submit this Letter of Acceptance, Waiver, and Consent (AWC) for the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070010301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Donna Jean Hines (Respondent) Former General Securities Representative CRD No. 4275524 Pursuant to FINRA Rule 9216, Respondent Donna Jean Hines 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. 2019063681001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David John Melilli (Respondent) Former General Securities Representative CRD No. 5254172 Pursuant to FINRA Rule 9216, Respondent David John Melilli submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.