FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064078501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Spencer Sullivant, Respondent CRD No. 6524062 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Spencer Sullivant 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. 2019062166301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Parrelly, Respondent Registered Representative CRD No. 728368 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James A. Parrelly 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. 2017056511101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc., Respondent Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Western International Securities, Inc. (Western 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. 2018059689101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Joseph Harte, Respondent General Securities Representative, General Securities Principal, Registered Options Principal, Financial and Operations Principal, and Operations Professional CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060881501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael B. Mountjoy Respondent Former Registered Representative CRD No. 4421573 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael B. Mountjoy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.