FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059478701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott David Fergang (Respondent) General Securities Representative CRD No. 1758758 Pursuant to FINRA Rule 9216, Respondent Scott David Fergang 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. 2019063574801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frederick Joseph Rock (Respondent) Former General Securities Representative CRD No. 2548242 Pursuant to FINRA Rule 9216, Respondent Frederick Joseph Rock 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. 2018058600001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maxim Group LLC (Respondent) Member Firm CRD No. 120708 Pursuant to FINRA Rule 9216, Respondent Maxim Group LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.