FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061251501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Earl Quon, Respondent Former General Securities Representative and General Securities Sale Supervisor CRD No. 3278125 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Earl Quon (“Quon”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations