FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051209101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donna Flemming, Respondent CRD No. 1791388 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

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057331001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: George C. Merhoff, Jr., Respondent Former Registered Representative CRD No. 2918171 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, George C. Merhoff Jr., 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. 2017056611801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel Robert Rozzi ("Rozzi"), Respondent Former Registered Representative CRD No. 5319858 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Daniel Robert Rozzi, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of