FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052330501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Triad Advisors, LLC (Respondent) Member Firm CRD No. 25803 Pursuant to FINRA Rule 9216, Respondent Triad Advisors, LLC 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. 2018057162301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.H. Darbie & Co., Inc., Respondent Member Firm CRD No. 43520 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent J.H. Darbie & Co., Inc. (the firm, or Respondent) 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. 2019061763302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jamie Bennett (Respondent) Former General Securities Principal CRD No. 2740248 Pursuant to FINRA Rule 9216, Respondent Jamie Bennett submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067626001 TO: Department of Enforcement Financial Regulatory Authority (FINRA) RE: Charles Bonilla (Respondent) Former General Securities Representative CRD No. 2572107 Pursuant to FINRA Rule 9216, Respondent Charles Bonilla submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the