FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063926101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Allan Katz (Respondent) General Securities Representative CRD No. 2166004 Pursuant to FINRA Rule 9216, Respondent Allan Katz submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.