FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058322401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dennis Carey Ward, Respondent Registered Representative CRD No. 1210684 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. WILLIAM JAMES POTTER (CRD No. 1281826), Respondent. DISCIPLINARY PROCEEDING NO. 2017052871401 HEARING OFFICER–MC EXTENDED HEARING PANEL DECISION August 7, 2019 Respondent is barred from associating with any member firm in any capacity for conversion and unethical business conduct, including misuse of funds. He is ordered to pay $250,000 in restitution, and hearing costs.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PARTHO S. GHOSH (CRD No. 1983427), Respondent. Disciplinary Proceeding No. 2016051615301 Hearing Officer-DRS EXTENDED HEARING PANEL DECISION Date: August 7, 2019 For engaging in outside business activities without providing prior written notice to his member firm employer, Respondent Partho S. Ghosh is fined $25,000, suspended for six months from associating with and

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058889101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory John Braccili, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5992725 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gregory John Braccili submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061408701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Eric Johnson, Respondent Former General Securities Principal and General Securities Representative CRD No. 2261413 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Eric Johnson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062412601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas John Marino, Respondent Registered Representative CRD No. 4438533 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Thomas John Marino ("Marino" 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. 2018056269002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Patrick Nixon, Respondent Registration Status: General Securities Representative CRD No. 2169631 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Michael Partrick Nixon, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052485801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Traderfield Securities Inc., Respondent BD No. 20130 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Traderfield Securities Inc. ("Traderfield" or "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051808903 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: OTA, LLC, Respondent CRD No. 25816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, OTA, LLC ("OTA," "Respondent" or the "Firm") submits 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. 2017052699301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard J. Coleman, Respondent Former General Securities Representative CRD No. 2720422 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Richard J. Coleman, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged