FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068649401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason V. McHenry (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6276756 Pursuant to FINRA Rule 9216, Respondent Jason V. McHenry 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. Frank V. Sapareto (CRD No. 2274877), Respondent. Disciplinary Proceeding No. 2018060379701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2018 and June 2018, while registered through Advisory Group Equity Services Ltd. (AGES), Respondent Frank V. Sapareto engaged in an outside business activity without providing prior written notice to AGES. Specifically, Sapareto created Standard Video LLC,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064819501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Candice E. Montie (Respondent) General Securities Representative CRD No. 4726799 Pursuant to FINRA Rule 9216, Respondent Candice E. Montie submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.