FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062890901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Andrew Catanzano (Respondent) Former Investment Company and Variable Contracts Products Representative and Former General Securities Representative CRD No. 4266723 Pursuant to FINRA Rule 9216, Respondent Timothy Andrew Catanzano submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063762101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Valerie Kaye Ingram (Respondent) Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 4360703 Pursuant to FINRA Rule 9216, Respondent Valerie Ingram submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052790301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dawson James Securities, Inc. (Respondent) Member Firm CRD No. 130645 Pursuant to FINRA Rule 9216, Respondent Dawson James Securities, Inc. 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. 2020065453101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Tadashi Inouye (Respondent) Former General Securities Representative CRD No. 1944879 Pursuant to FINRA Rule 9216, Respondent Paul Tadashi Inouye submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.