BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Peter Orlando Taunton, MA, Respondent. DECISION Complaint No. 2014043863001 Dated: March 16, 2020 Registered representative unethically exploited a senior customer for financial reasons, made an unsuitable recommendation to the customer, and

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060233501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Quincy D. Caldwell, Respondent Former General Securities Representative CRD No. 5583424 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Quincy D. Caldwell 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. 2019063885101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andre Derricotte, Respondent Former Registered Representative CRD No. 5932089 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Andre Derricotte 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. 2019062256701 T0: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Hall, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5508890 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent David Hall submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064384001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Caleb Austin Jamison, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5645954 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Caleb Austin Jamison (“Respondent” or “Jamison”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064384101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Blake McGowan, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6385231 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent William Blake McGowan (“Respondent” or “McGowan”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations