FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063585501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Pace McConkie, Respondent Former Registered Representative CRD No. 6092544 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Pace McConkie 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Victor A. Rigoni, III CRD No. 4272056, Respondent. Disciplinary Proceeding No. 2018060840101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From August 2012 through March 2019, Victor A. Rigoni, III willfully failed to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose six unsatisfied federal and state tax liens totaling $164,521. On average, Rigoni