FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062898301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shawna J. Loveland, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5434702 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Shawna J. Loveland 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. 2019060749102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nina Maines, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 2496408 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Nina Maines 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. 2019062886901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Xerxes Soli Mullan, Respondent Former General Securities Representative CRD No. 4579996 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Xerxes Soli Mullan 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. 2018057883101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christ Elias Baltas, Respondent Former General Securities Representative, General Securities Principal, and Operations Professional CRD No. 2570499 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Christ Elias Baltas submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.