FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056511101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc., Respondent Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Western International Securities, Inc. (Western or the Firm) 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. 2018059689101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Joseph Harte, Respondent General Securities Representative, General Securities Principal, Registered Options Principal, Financial and Operations Principal, and Operations Professional CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060881501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael B. Mountjoy Respondent Former Registered Representative CRD No. 4421573 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael B. Mountjoy 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. 2015046315102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Moloney Securities, Co., Inc., Respondent Member Firm CRD No. 38535 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Moloney Securities, Co., Inc. (the "Firm," "Respondent" or "Moloney") 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. THOMAS JOHN LYKOS, JR. (CRD No. 2017220), Respondent. Disciplinary Proceeding No. 2018059510201 Hearing Officer-DDM HEARING PANEL DECISION May 1, 2020 Respondent is barred from associating with any member firm in any capacity for acting unethically by cheating during a qualification examination, in