FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060554601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Steven Mullaly, Respondent General Securities Representative CRD No. 2679121 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Steven Mullaly submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059314101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rockney F. Garcia, Respondent Former Investment Company and Variable Contracts Representative CRD No. 6315252 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Rockney F. Garcia ("Garcia" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056341901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ralph G. Adamo, Respondent Former Registered Representative CRD No. 1624126 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ralph G. Adamo submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations