FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056490309 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tory A. Duggins (Respondent) General Securities Representative CRD No. 4556340 Pursuant to FINRA Rule 9216, Respondent Tory A. Duggins 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. 2022076767001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lucas R. Hales (Respondent) Former Operations Professional and General Securities Representative CRD No. 6258497 Pursuant to FINRA Rule 9216, Respondent Lucas R. Hales 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. 2019063365401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RCX Capital Group, LLC (Respondent) Member Firm CRD No. 114290 Pursuant to FINRA Rule 9216, Respondent RCX Capital Group, LLC 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. 2023078112801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rajen Duggal (Respondent) Former General Securities Representative CRD No. 6505933 Pursuant to FINRA Rule 9216, Respondent Rajen Duggal 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. 2022076480401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vision Financial Markets LLC (Respondent) Member Firm CRD No. 142271 Pursuant to FINRA Rule 9216, Respondent Vision Financial Markets LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.