FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057640301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andre Pierre Davis, Respondent General Securities Representative CRD No. 1417097 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Andre Pierre Davis 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. 2018057646701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Billy Hai Zhang, Respondent Former Registered Representative CRD No. 5510158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Billy Hai Zhang ("Zhang") 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. 2019061376901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chad P. Meyer, Respondent Variable Contracts Products Representative CRD No. 4213067 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Chad P. Meyer ("Meyer") 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. 2017055815301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Jody Thompson, Respondent General Securities Representative CRD No. 2391190 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jody Thompson (“Thompson”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted