FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059857701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Martin J. Petela, Respondent General Securities Representative CRD No. 5587657 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Martin J. Petela 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Erik Patrick Pica CRD No. 4829533, Respondent. Disciplinary Proceeding NO. 2019061947501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In February 2019, while registered through Joseph Stone Capital L.L.C. (CRD No. 159744) ("Joseph Stone" or the "Firm"), Respondent Erik Patrick Pica converted and

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059632301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wessam Baiz, Respondent Former Registered Representative CRD No. 6501692 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Wessam Baiz ("Respondent" or "Baiz"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.