FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060587101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Allen Walters (Respondent) Former General Securities Representative, Former General Securities Principal, Former Investment Banking Representative, Former Investment Banking Principal, Former Introducing Broker-Dealer Financial and Operations Principal, and Former Operations Professional CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059872901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas William Stopkey (Respondent) General Securities Representative CRD No. 2209717 Pursuant to FINRA Rule 9216, Respondent Douglas William Stopkey 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 condition