FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072000901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J. Richard Matheis Former General Securities Representative Former General Securities Principal CRD No. 869179 Pursuant to FINRA Rule 9216, Respondent J. Richard Matheis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.