FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056094901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Scott Mason, Respondent General Securities Representative CRD No. 3207386 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Scott Mason (“Mason” or “Respondent”) submit 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.. JAMES PAQUETTE (CRD No. 2164109), Respondent. Disciplinary Proceeding No. 2017054889201 Hearing Officer-RES DEFAULT DECISION August 1, 2019 For failure to timely update his Uniform Application for Securities Industry Registration to disclose a felony charge, Respondent is barred from associating with any FINRA member in any capacity.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052325902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CV Brokerage, Inc., Respondent CRD No. 462 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CV Brokerage, Inc. ("CV Brokerage" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052325901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brenda Smith, Respondent CRD No. 4348518 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brenda Smith ("Smith" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056901701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: David Philip Antypas (“Antypas” or “Respondent”) General Securities Representative/General Securities Sales Supervisor CRD No. 2603488 Pursuant to 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047175401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lori Sullivan Antolovic, Respondent General Securities Representative, Investment Banking Representative and Municipal Securities Principal CRD No. 1480968 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lori Sullivan Antolovic ("Antolovic" or Respondent), submit

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054867601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dinosaur Financial Group LLC, Respondent CRD No. 104446 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dinosaur Financial Group LLC ("Dinosaur" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062318301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elizabeth Stockwell, Respondent General Securities Representative CRD No. 6398497 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Elizabeth Stockwell submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052655301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Summit Brokerage Services, Inc. (CRD No 34643) Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Summit Brokerage Services, Inc. (“Summit” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055355301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Ricardo de la Garza Emerich, Respondent General Securities Representative CRD No. 4246723 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Ricardo de la Garza Emerich, submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations