FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072968801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeremiah Roman (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6321876 Pursuant to FINRA Rule 9216, Respondent Jeremiah Roman 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. 2020068810201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John C. Jacobsen (Respondent) Former General Securities Representative CRD No. 2864333 Pursuant to FINRA Rule 9216, Respondent John C. Jacobsen 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. 2022076505601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lynn W. Bryant (Respondent) Former General Securities Representative CRD No. 3216344 Pursuant to FINRA Rule 9216, Respondent Lynn W. Bryant 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SUZANNE MARIE CAPELLINI (CRD No. 1357703), Respondent. Disciplinary Proceeding No. 2020066627202 Hearing Officer–DDM EXTENDED HEARING PANEL DECISION July 14, 2023 Respondent Suzanne Marie Capellini provided false and misleading responses and an altered document to FINRA’s investigative requests. For this misconduct, Capellini is barred from associating with a FINRA member firm in any capacity.