FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065664201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mayur T. Dalal (Respondent) Former General Securities Representative (GSR), Investment Company and Variable Contracts Products Representative (IR), and Investment Company Products / Variable Contracts Principal (IP) CRD No. 1853077 Pursuant to FINRA Rule 9216, Respondent Mayur T. Dalal submits this Letter of Acceptance, Waiver, and Consent (AWC)

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063147101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Christopher M. Roumayeh, Respondent General Securities Representative CRD No. 4510051 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Christopher M. Roumayeh (“Roumayeh” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. William James Potter Glen Ridge, N.J., Respondent. Decision Complaint No. 2017052871401 Dated: May 27, 2021 Extended Hearing Panel found that respondent engaged in unethical conduct in violation of FINRA Rule 2010. Held, findings of violation reversed, sanctions vacated, and complaint dismissed.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053556902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RJJ Pasadena Securities, Inc., Respondent Member Firm CRD No. 8425 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent RJJ Pasadena Securities, Inc. 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. 2019063798401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elvis Beslagic (Respondent) Former General Securities Representative CRD No. 5565302 Pursuant to FINRA Rule 9216, Respondent Elvis Beslagic submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.