FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT 2022074647501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven M. Brakman (Respondent), Former General Securities Representative CRD No. 3070076 Pursuant to FINRA Rule 9216, Respondent Steven M. Brakman 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. 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.