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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056922501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Linda Sue Zara, Respondent General Securities Representative CRD No. 2322009 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Linda Sue Zara ("Zara" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043477301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061378901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Richard Mackay, Respondent Investment Company and Variable Contracts Products Representative/Investment Company Products/Variable Contracts Principal CRD No. 2279775 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060287901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard Earl Cagle, Respondenet General Securities Registered Representative CRD No. 2122648 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Richard Earl Cagle ("Cagle" or "Respondent") 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. VINCENT JOSEPH STORMS (CRD No. 4969537), Respondent. DISCIPLINARY PROCEEDING NO. 2017053982801 Hearing Officer-MJD DEFAULT DECISION July 3, 2019 Respondent Vincent Joseph Storms falsified firm branch a

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056845801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jollene J. Austin, Respondent General Securities Representative CRD No. 2997663 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. 2018060634302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lisa Acca, Respondent Former General Securities Representative Former General Securities Principal CRD No. 4661358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lisa Acca, ("Acca") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058666001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steve Baptist, Respondent Registered Representative CRD No. 5885870 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Steve Baptist ("Baptist"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations