FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078112801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rajen Duggal (Respondent) Former General Securities Representative CRD No. 6505933 Pursuant to FINRA Rule 9216, Respondent Rajen Duggal 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. 2022076480401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vision Financial Markets LLC (Respondent) Member Firm CRD No. 142271 Pursuant to FINRA Rule 9216, Respondent Vision Financial Markets LLC 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. 2022073651801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lincoln Lucas Mason (Respondent) Former General Securities Representative CRD No. 7057393 Pursuant to FINRA Rule 9216, Respondent Lincoln Lucas Mason 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, \VAIVER, AND CONSENT NO. 2019062479102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brad C. Brooks (Respondent) Former General Securities Representative and General Securities Principal CRD No. 1584633 Pursuant to FINRA Rule 9216, Respondent Brad C. Brooks submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.