FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058564001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ken Kavanagh, Respondent General Securities Representative, CRD No. 4502223 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Ken Kavanagh ("Kavanagh" or Respondent), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Alpine Securities Corporation (CRD No. 14952), Respondent. Temporary Cease and Desist Proceeding No. TCDO190001 Hearing Officer-LOM TEMPORARY CEASE AND DESIST CONSENT ORDER Based upon the parties' consent, the Hearing Panel issues this Temporary Cease and Desist Consent Order ("Order") pursuant to FINRA Rule 9840. It is understood and agreed by all the undersigned that the parties'

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062404601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David J. Volpe, Respondent CRD No. 2543478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David J. Volpe 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. 2018056290001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dawson James Securities, Inc., Respondent Member Firm CRD No. 130645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Dawson James Securities, Inc. ("Dawson James" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056269001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA";) RE: Matthew Albers, Respondent Registration Status: General Securities Representative CRD No. 2917814 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Matthew Albers, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061628401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Damien Berkowicz, Respondent Former General Securities Representative CRD No. 4306842 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Damien Berkowicz submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057528501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Orlando Vargas, Respondent Former General Securities Representative CRD No. 5703625 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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. 2016052176301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beth Hamilton, Respondent General Securities Representative CRD No. 3092302 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Beth Ann Hamilton ("Hamliton" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056514601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher C. Beghtel Respondent Former Registered Representative CRD No. 5837978 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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.2018059411401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mengxuan Zhang Former General Securities Representative CRD No. 6548853 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Mengxuan Zhang, the Respondent, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations