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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2018057657501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Karen Paek, Respondent Former Registered Representative CRD No. 5985441 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Karen Paek 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. William Mark Heiden (CRD No. 2885156), Respondent. DISCIPLINARY PROCEEDING NO. 2017053182001 Hearing Officer-RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 5, 2019 INTRODUCTION Disciplinary Proceeding No. 2017053182001 was filed on January 17, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057785901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Jeffrey Alan Blutstein, Respondent General Securities Representative CRD No. 1398688 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jeffrey Alan Blutstein, 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. 2015047824201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Planmember Securities Corporation, Respondent CRD No. 11869 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Planmember Securities Corporation submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056094901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Scott Mason, Respondent General Securities Representative CRD No. 3207386 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Scott Mason (“Mason” or “Respondent”) 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v.. JAMES PAQUETTE (CRD No. 2164109), Respondent. Disciplinary Proceeding No. 2017054889201 Hearing Officer-RES DEFAULT DECISION August 1, 2019 For failure to timely update his Uniform Application for Securities Industry Registration to disclose a felony charge, Respondent is barred from associating with any FINRA member in any capacity.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052325902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CV Brokerage, Inc., Respondent CRD No. 462 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CV Brokerage, Inc. ("CV Brokerage" or "the Firm") 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. 2017052325901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brenda Smith, Respondent CRD No. 4348518 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brenda Smith ("Smith" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule