FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061847901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Klinger, Respondent Former General Securities Representative CRD No. 1294139 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stephen Klinger 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. 2018060040901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aarti Hinal Patel, Respondent Former Investment Company Products/Variable Contracts Representative CRD No. 5614912 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Aarti Hinal Patel 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. 2019063681501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jaime M. Westenbarger, Respondent Former Registered Representative CRD No. 4625703 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jamie M. Westenbarger submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations