FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ami Kathryn Forte (CRD No. 2457536) and Charles Joseph Lawrence (CRD NO. 3131566), Respondents. Disciplinary Proceeding No. 2016049321302 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 21, 2019 INTRODUCTION Disciplinary Proceeding No. 2016049321302 was filed on December 20, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ami Kathryn Forte (CRD No. 2457536) and Charles Joseph Lawrence (CRD NO. 3131566), Respondents. Disciplinary Proceeding No. 2016049321302 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 21, 2019 INTRODUCTION Disciplinary Proceeding No. 2016049321302 was filed on December 20, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048444001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WallachBeth Capital LLC, Respondent Broker-Dealer CRD No. 147853 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WallachBeth Capital LLC (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 described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061994701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dennis A. Mehringer, Jr., Respondent Former Registered Representative CRD No. 722569 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. 2016052226801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Insight Securities, Inc., Respondent Member Firm CRD No. 5611 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Insight Securities, Inc. ("Insight Securities" 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.