FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055028101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason N. Dukas, Respondent Registered Representative CRD No. 4188239 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jason Dukas 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. 2015046847001 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Lime Brokerage LLC, Respondent Broker-Dealer CRD No. 104369 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lime Brokerage LLC ("Lime," the "Firm" 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. 2015046182402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: VectorGlobal WMG, Respondent Broker-Dealer CRD No. 32396 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VectorGlobal WMG (the "firm" or "VectorGlobal") 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. 2019063140001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brandon Rolle, Respondent General Securities Representative and Research Analyst CRD No. 6097706 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brandon Rolle ("Rolle" 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.