FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052705801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James M. Lamont, Respondent General Securities Representative CRD No. 2846228 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James M. Lamont, 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. 2017055973101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian D. Parker, Respondent Registered Representative CRD No. 2161106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brian D. Parker, 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. Martin David Batstone CRD No. 2171601, Respondent. Disciplinary Proceeding No. 2019061205201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 2015 and August 2016, while associated with Independent Financial Group, LLC

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. OSCAR NUNEZ (CRD No. 6014411), Respondent. Disciplinary Proceeding No. 2017055553002 Hearing Officer-MJD DEFAULT DECISION September 27, 2019 Respondent Oscar Nunez misused and converted a customer's funds, borrowed money from another customer without his firm's knowledge and