FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069176201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric John Vici (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 6114866 Pursuant to FINRA Rule 9216, Respondent Eric John Vici 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. Adam Gerard Belardino CRD No. 5221927, Respondent. Disciplinary Proceeding No. 2019062347102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Adam Gerard Belardino failed on two occasions to appear for on-the-record (“OTR”) testimony requested by FINRA staff pursuant to FINRA Rule 8210. As a result, Belardino violated FINRA Rules 8210 and 2010.