FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046315102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Moloney Securities, Co., Inc., Respondent Member Firm CRD No. 38535 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Moloney Securities, Co., Inc. (the "Firm," "Respondent" or "Moloney") 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THOMAS JOHN LYKOS, JR. (CRD No. 2017220), Respondent. Disciplinary Proceeding No. 2018059510201 Hearing Officer-DDM HEARING PANEL DECISION May 1, 2020 Respondent is barred from associating with any member firm in any capacity for acting unethically by cheating during a qualification examination, in

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062085501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Maroun Hakim, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1170096 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Thomas Maroun Hakim submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.