FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071002501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carlos A. Hurtado (Respondent) General Securities Representative CRD No. 5111878 Pursuant to FINRA Rule 9216, Respondent Carlos A. Hurtado 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. 2017055447501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric P. Burton (Respondent) General Securities Representative CRD No. 3113849 Pursuant to FINRA Rule 9216, Respondent Eric P. Burton 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 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Blair Olsen willfully failed to amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose, or to timely disclose, criminal felony charges. As a result, Olsen violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010.