FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067785301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicholas J. Tocco (Respondent) Former Compliance Officer Former General Securities Principal CRD No. 5482327 Pursuant to FINRA Rule 9216, Respondent Nicholas J. Tocco 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. 2022075008501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Tri Truong (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 7029983 Pursuant to FINRA Rule 9216, Respondent James Tri Truong (Truong) 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. Luke Michael Johnson CRD No. 3257008, Respondent Disciplinary Proceeding No. 2019061213402 COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. From April 2015 through May 2018 (the “relevant period”), Respondent Luke Johnson, while associated with FINRA member firm Coastal Equities, Inc.