FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060577601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul M. Mallory, Respondent Former General Securities Representative, General Securities Principal, and Municipal Securities Representative CRD No. 4954768 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Paul M. Mallory 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. 2014041107201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gregory Paul Pellizzon, Respondent Former Registered Representative CRD No. 712667 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gregory Paul Pellizzon ("Pellizzon") 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN J. MURPHY (CRD No. 1645347), Respondent. DISCIPLINARY PROCEEDING NO. 2017054548001 Hearing Officer-DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 15, 2019 INTRODUCTION Disciplinary Proceeding No. 2017054548001 was filed on September 16, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Kevin J. Murphy submitted an Offer

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056673501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Julie Ann Mineard, Respondent General Securities Representative CRD No. 3230787 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Julie Ann Mineard ("Mineard" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations