FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061319201 TO: Department of Enforcement Financial industry Regulatory Authority (FINRA) RE: Christopher Duke Bennett, Respondent General Securities Representative CRD No. 2510231 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Christopher Duke Bennett ("Bennett" 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. 2017056738101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CIM Securities, LLC, Respondent Member Firm BD No. 120852 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CIM Securities, LLC ("Respondent" 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. 2013037641201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BNP Paribas Securities Corp., Respondent Member Firm CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BNP Paribas Securities Corp. ("BNP Paribas" 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.