FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055723502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Financial Equity Corporation, Respondent Member Firm CRD No. 16507 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, First Financial Equity Corporation ("FFEC" 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 below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley Salt Lake City, UT, Respondents. DECISION Complaint No. 2012032731802 Dated: December 19, 2019 Member firm engaged in short selling in violation of federal securities laws.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042621701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cecil Allen Ross, Respondent Registered Representative CRD No. 2391047 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cecil Allen Ross 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. 2018057786401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jonathan Gerald Schnell, Respondent General Securities Representative, CRD No. 2821933 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jonathan Gerald Schnell ("Schnell" 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. 2017056224001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robinhood Financial, LLC, Respondent CRD No. 165998 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robinhood Financial, LLC ("Robinhood," the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations