BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Linda C. Milberger Orlando, Florida, Respondent. DECISION Complaint No. 2015047303901 Dated: March 27, 2020 Respondent falsified customer wire request forms, provided false documents to her firm during an investigation, and provided a false document to FINRA

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058923701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William James Hite, Respondent General Securities Representative CRD No. 1675972 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent William James Hite (“Hite”) 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. 2018057964201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark T. Lamkin, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 2121510 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Mark T. Lamkin (“Lamkin” 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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064038501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ashley K. Martin, Respondent General Securities Representative CRD No. 4628096 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ashley K. Martin ("Martin" 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.