FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059776401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Michael Gribben, Respondent Former General Securities Representative, General Securities Principal, Investment Banking Representative, and Investment Banking Principal CRD No. 5835239 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Steven Michael Gribben submits this Letter of Acceptance, Waiver and Consent (AWC)

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064190001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tracy M. Meade, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6145108 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Tracy M. Meade 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. 2019061168602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Ortega, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6676466 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Ortega submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.