FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060543701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jose A. Yniguez, Respondent Investment Company and Variable Contracts Products Representative CRD No. 4945380 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jose A. Yniguez (Yniguez) 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. 2018057457101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CFD Investments, Inc. Member Firm CRD No. 25427 Matthew Bahrenburg General Securities Principal CRD No. 5295661 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents CFD Investments, Inc. and Matthew Bahrenburg 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. 2019060749101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael F. Coomes, Jr., Respondent General Securities Representative and General Securities Principal CRD No. 2699173 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Michael F. Coomes, Jr. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.