FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057937201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven R. Perlstein (Respondent) General Securities Principal Financial and Operations Principal CRD No. 2206197 Pursuant to FINRA Rule 9216. Respondent Steven R. Perlstein 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. 2020068711601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Autumn Jordan (Respondent) Former Associated Person CRD No. 7099142 Pursuant to FINRA Rule 9216, Respondent Autumn Jordan 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. 2020068731301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Valerie Idarraga Ceballos (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6904661 Pursuant to FINRA Rule 9216, Respondent Valerie Idarraga Ceballos 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. 2020066474901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexander William Schifter, Respondent Former Investment Banking Representative CRD No. 6534524 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Alexander William Schifter submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.