FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055503601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert Scott Davis Registered Representative CRD No. 4662922 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. 2017055024201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cindy Maria Fuzie, Respondent CRD No. 5222145 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Cindy Maria Fuzie ("Fuzie" or "Respondent"), 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. 2017053705201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Samuel K. Van Allen, Respondent CRD No. 4464706 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Samuel K. Van Allen (“Van Allen” or “Respondent”), 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. 2018059546401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brenda M. Kochel, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5212755 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brenda M. Kochel ("Respondent" or "Kochel") submits this Letter of Acceptance, Waiver and

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL G. MAUGHAN CRD No. 2561363, Respondent. Disciplinary Proceeding No. 2017054755206 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel G. Maughan, while associated with Financial West Group ("Financial West" or the "Firm"), a FINRA-regulated broker-dealer, churned and excessively

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060898601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric Savell, Respondent Former Registered Representative CRD No. 4182368 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. 2017054847101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Wilson Fleming, Respondent Former Registered Representative CRD No. 1021968 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robert Juan Escobio (CRD No. 703813), Respondent. DISCIPLINARY PROCEEDING NO. 2018059545201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2019 to the present, Respondent Robert Juan Escobio has repeatedly failed to provide information and documents requested by FINRA Staff pursuant to FINRA Rule 9210 in an investigation involving whether Escobio

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037572601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lime Brokerage LLC, Respondent Broker-Dealer CRD No. 104369 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lime Brokerage LLC ("Lime" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing