FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062300001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Barone (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5538663 Pursuant to FINRA Rule 9216, Respondent Thomas Barone submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.