FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066263401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Linn Christopher Shoesmith (Respondent) General Securities Representative and General Securities Principal CRD No. 2222133 Pursuant to FINRA Rule 9216, Respondent Linn Christopher Shoesmith 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. 2019064685901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Donald Robert Pollard (Respondent) General Securities Representative and General Securities Principal CRD No. 2181631 Pursuant to FINRA Rule 9216, Respondent Donald Robert Pollard 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. 2019063221801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Ryan Deegan (Respondent) Former General Securities Principal and Representative CRD No. 2620724 Pursuant to FINRA Rule 9216, Respondent Timothy Ryan Deegan 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. 2020066611401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sharon Kay Snow (Respondent) Former Associated Person CRD No. 1607192 Pursuant to FINRA Rule 9216, Respondent Sharon Kay Snow 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. 2020068114401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dustin Paul Shafer (Respondent) Former General Securities Representative CRD No. 4198962 Pursuant to FINRA Rule 9216, Respondent Dustin Paul Shafer 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. 2019064538201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Frederick Griner (Respondent) General Securities Representative CRD No. 1024669 Pursuant to FINRA Rule 9216, Respondent John Frederick Griner 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. 2019063221801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Ryan Deegan (Respondent) Former General Securities Principal and Representative CRD No. 2620724 Pursuant to FINRA Rule 9216, Respondent Timothy Ryan Deegan 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. 2019062628701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Angel Wynette Bardeche (Respondent) Former General Securities Representative CRD No. 4698117 Pursuant to FINRA Rule 9216, Respondent Angel Wynette Bardeche submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.