FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045508801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ascendiant Capital Markets, LLC (Respondent) Member Firm CRD No. 152912 Pursuant to FINRA Rule 9216, Respondent Ascendiant Capital Markets, LLC (Ascendiant or the Firm) 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. 2018060806601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alfonse Joseph Stazzone (Respondent) Corporate Securities Representative CRD No. 4908107 Pursuant to FINRA Rule 9216, Respondent Alfonse Joseph Stazzone 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060806602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maxim Beliakov (Respondent) General Securities Principal CRD No. 5968432 Pursuant to FINRA Rule 9216, Respondent Maxim Beliakov submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.