FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068626201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Grace M. Casella (Respondent) Former General Securities Representative CRD No. 7233781 Pursuant to FINRA Rule 9216, Respondent Grace M. Casella 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061943301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ryan Tarjanyi (Respondent) General Securities Representative Investment Company and Variable Contracts Products Representative CRD No. 6065805 Pursuant to FINRA Rule 9216, Respondent Ryan Tarjanyi submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 91268 / March 5, 2021 Admin. Proc. File No. 3-17294r In the Matter of the Application of DAVID B. TYSK For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Registered representative formerly associated with a FINRA member firm appeals from findings that he engaged in conduct inconsistent with just and equitable

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065664201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mayur T. Dalal (Respondent) Former General Securities Representative (GSR), Investment Company and Variable Contracts Products Representative (IR), and Investment Company Products / Variable Contracts Principal (IP) CRD No. 1853077 Pursuant to FINRA Rule 9216, Respondent Mayur T. Dalal submits this Letter of Acceptance, Waiver, and Consent (AWC)

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063147101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Christopher M. Roumayeh, Respondent General Securities Representative CRD No. 4510051 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Christopher M. Roumayeh (“Roumayeh” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. William James Potter Glen Ridge, N.J., Respondent. Decision Complaint No. 2017052871401 Dated: May 27, 2021 Extended Hearing Panel found that respondent engaged in unethical conduct in violation of FINRA Rule 2010. Held, findings of violation reversed, sanctions vacated, and complaint dismissed.