FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047496101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brett David Levinson, Respondent General Securities Representative CRD No. 2644880 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brett David Levinson 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. 2017054267101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Louis Ward, Respondent General Securities Representative, General Securities Principal, Investment Banking Representative, Investment Banking Principal, and Operations Professional CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057449501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kathryn Renee Charpie, Respondent Former Registered Representative CRD No. 840016 In accordance with FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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. 2019063663401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rober Renteria, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5773053 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Renteria ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.