FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059314101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rockney F. Garcia, Respondent Former Investment Company and Variable Contracts Representative CRD No. 6315252 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Rockney F. Garcia ("Garcia" or "Respondent") 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. 2017056341901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ralph G. Adamo, Respondent Former Registered Representative CRD No. 1624126 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ralph G. Adamo 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. 2016050847301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian J. Lockett, Respondent General Securities Representative CRD No. 4573162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Brian J. Lockett ("Respondent" or "Lockett") 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. 2016051256201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (the "firm") 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. 2015048347901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clint H. Keener, Respondent Registered Representative CRD No. 2250146 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clint H. Keener submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.