United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued December 1, 2020 Decided February 26, 2021 No. 20-1092 KIMBERLY SPRINGSTEEN-ABBOTT, PETITIONER v. SECURITIES AND EXCHANGE COMMISSION, RESPONDENT On Petition for Review of an Order of the Securities & Exchange Commission Dominic E. Draye argued the cause for petitioner. With him on the briefs was Steven M. Felsenstein. Daniel Staroselsky, Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for respondent. With him on the brief was John W. Avery, Deputy Solicitor.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065315901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Scott Shelley, Respondent Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 2671545 Pursuant to FINRA Rule 9216, Respondent Richard Scott Shelley 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.2020065548501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Louise Jones (Respondent) Former General Securities Representative CRD No. 1254936 Pursuant to FINRA Rule 9216. Respondent Louise Jones 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. 2019061128401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lang Phu Nguyen (Respondent) Former General Securities Representative CRD No. 6526189 Pursuant to FINRA Rule 9216, Respondent Lang Nguyen 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. 2014041812501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TradeStation Securities, Inc. (Respondent) Member Firm CRD No. 39473 Pursuant to FINRA Rule 9216, Respondent TradeStation Securities, Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.