FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055477301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jedediah Elvin Dahl, Respondent General Securities Representative CRD No. 5517556 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jedediah Elvin Dahl (“Dahl” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061086302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gerald L. Brodsky, Respondent Former Registered Representative CRD No. 1172647 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gerald L. Brodsky 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. 2018059723101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Vitthal Mathurbmas Patel, Respondent CRD No. 1775477 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Vitthal Mathurbmas Patel ("Patel") 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. 2017056381601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carlton Jerome Dick, Respondent General Securities Representative and Operations Principal CRD No. 5639545 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Carlton Jerome Dick ("Dick" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")