FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067455201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Javelin M. San Nicolas (Respondent) Former General Securities Representative CRD No. 6722186 Pursuant to FINRA Rule 9216, Respondent Javelin M. San Nicolas 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. 2017052705802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Whitehall-Parker Securities, Inc. (Respondent) Member Firm CRD No. 10608 Robert J. Yuloo (Respondent) General Securities Principal CRD No. 1303331 Pursuant to FINRA Rule 9216, Respondents Whitehall-Parker Securities, Inc. and Robert J. Yuloo submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063621101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cesar Augusto Barrios (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6263225 Pursuant to FINRA Rule 9216, Respondent Cesar Augusto Barrios 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. 2019061645502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryce R. Scarfone (Respondent) Former General Securities Representative CRD No. 6720620 Pursuant to FINRA Rule 9216, Respondent Bryce R. Scarfone 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060721801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Growth Capital Services, Inc. (Respondent) Member Firm CRD No. 124658 Pursuant to FINRA Rule 9216, Respondent Growth Capital Services, Inc. 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