FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054411901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Richard Reynolds, Respondent Former Registered Representative CRD No. 2705340 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Scott Richard Reynolds 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. 2020065627301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Nelson (Respondent) Former General Securities Representative CRD No. 6674139 Pursuant to FINRA Rule 9216, Respondent Christopher Nelson 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. 2019061906301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Corey Alexander Johnson (Respondent) General Securities Representative CRD No. 5752206 Pursuant to FINRA Rule 9216, Respondent Corey Alexander Johnson 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. 2017054288401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Riaz Haidri (Respondent) Securities Trader and Proprietary Trader Principal CRD No. 2542194 Pursuant to FINRA Rule 9216, Respondent Riaz Haidri submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.