FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068655901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kyle William Chapman (Respondent) Former General Securities Representative CRD No. 6303483 Pursuant to FINRA Rule 9216, Respondent Kyle William Chapman 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. 2020067800801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Newbridge Securities Corporation (Respondent) Member Firm CRD No. 104065 Pursuant to FINRA Rule 9216, Respondent Newbridge Securities Corporation 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. 2023079677001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas W. Rinek (Respondent) Former General Securities Representative CRD No. 2171430 Pursuant to FINRA Rule 9216, Respondent Thomas W. Rinek 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. 2023078783201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roy Kevin Williams (Respondent) Former General Securities Representative Former General Securities Sales Supervisor Former Registered Options Principal CRD No. 843607 Pursuant to FINRA Rule 9216, Respondent Roy Kevin Williams submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.