FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075872401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lucy Yi Lin (Respondent) Former Associated Person CRD No. 7449972 Pursuant to FINRA Rule 9216, Respondent Lucy Yi Lin 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. 2023077842701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan Adem Joseph (Respondent) CRD No. 7505049 Pursuant to FINRA Rule 9216, Respondent Bryan Adem Joseph 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. 2022076459304 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond William Clark (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 2865619 Pursuant to FINRA Rule 9216, Respondent Raymond William Clark 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. 2022074096802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent Pucciarelli (Respondent) General Securities Representative CRD No. 2039846 Pursuant to FINRA Rule 9216, Respondent Vincent Pucciarelli 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. 2022076500001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Ramon DeLao (Respondent) General Securities Representative CRD No. 2406749 Pursuant to FINRA Rule 9216, Respondent Michael Ramon DeLao (DeLao) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.