FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063011601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Robert Barrows, Respondent Former Registered Representative CRD No. 721515 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Robert Barrows 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. 2017052698601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Randy T. Carpen, Respondent General Securities Representative General Securities Principal CRD No. 2469877 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Randy T. Carpen ("Carpen") 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. 2019062882001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel R. Castoriano, Respondent Former Registered Representative CRD No. 4229838 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Daniel R. Castoriano 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. 2017055249101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas S. Martin, Respondent General Securities Representative CRD No. 4500330 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas S. Martin ("Martin") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.