FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063861501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Narinder Kaur Singh, Respondent Former Registered Representative CRD No. 3100308 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Narinder Kaur Singh (“Singh”) 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. 2017053083201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Buckman, Buckman & Reid, Inc., Respondent Member Firm CRD No. 23407 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Buckman, Buckman & Reid, Inc. 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. 2019061034501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Michael Rapisarda, Respondent Former General Securities Representative and General Securities Principal CRD No. 1851883 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent James Michael Rapisarda submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.