FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2021070570001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel H. Vatterott (Respondent) General Securities Representative CRD No. 1263265 Pursuant to FINRA Rule 9216, Respondent Daniel H. Vatterott 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. 2020068810101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Justin H. Parkhurst (Respondent) General Securities Representative CRD No. 5202789 Pursuant to FINRA Rule 9216, Respondent Justin H. Parkhurst 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. 2022075621801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joe David Gainer, Jr. (Respondent) Former General Securities Representative CRD No. 4517367 Pursuant to FINRA Rule 9216, Respondent Joe David Gainer, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.