FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075036001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard M. Funderburk (Respondent) Former Not-Registered Fingerprint Person CRD No. 6129027 Pursuant to FINRA Rule 9216, Respondent Richard M. Funderburk 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075569501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kimberly A. Sittarich (Respondent) Former Non-Registered Fingerprint Person CRD No. 4497728 Pursuant to FINRA Rule 9216, Respondent Kimberly A. Sittarich 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063686205 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Abbe Jan Wollins (Respondent) Former General Securities Representative CRD No. 5237027 Pursuant to FINRA Rule 9216, Respondent Abbe Jan Wollins 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057457401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Blake Adam Levy (Respondent) Former General Securities Representative CRD No. 4593636 Pursuant to FINRA Rule 9216, Respondent Blake Adam Levy 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078823301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason K. Adams (Respondent) Former General Securities Representative CRD No. 2217759 Pursuant to FINRA Rule 9216, Respondent Jason K. Adams submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.