FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066414701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lucas Mandon King (Respondent) Former Investment Company Shares and Variable Contracts Representative CRD No. 6424176 Pursuant to FINRA Rule 9216, 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. 2016051352401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Clearing, LLC (now known as Wells Fargo Clearing Services, LLC) (Respondent) Member Firm CRD No. 19616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent First Clearing 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. GURPREET CHANDHOKE (CRD No. 4999369) and STEPHEN SHEA (CRD No. 3274649), Respondents. Disciplinary Proceeding No. 2015047244701 Hearing Officer-LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 4, 2020 INTRODUCTION Disciplinary Proceeding No. 2015047244701 was filed on August 12, 2019, by the