FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062357401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gregory John Stouffer, Respondent Former General Securities Representative General Securities Principal, Municipal Securities Principal, and General Securities Sales Supervisor CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060306301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lillian Degasperis, Respondent General Securities Representative CRD No. 2363667 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lillian Degasperis ("Degasperis" 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. 2018060749801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph John Mauro, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2046076 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Joseph John Mauro submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.