FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053051001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TPEG Securities, LLC, Respondent Member Firm CRD No. 146726 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent TPEG Securities, LLC (“TPEG Securities” 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. 2018058977001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Torrey Brent Sattof, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5851586 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Torrey Brent Sattof 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. 2017053494401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent, Member Firm CRD No. 7691 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063123501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Silverman, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 4582993 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Robert Silverman submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.