FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070414101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William A. Massarweh (Respondent) Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 4040459 Pursuant to FINRA Rule 9216, Respondent William A. Massarweh 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. 2021070740701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew G. Barks (Respondent) Form Investment Company and Variable Contracts Products Representative CRD No. 6372903 Pursuant to FINRA Rule 9216, Respondent Matthew G. Barks 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. 2020068558701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BGC Financial, L.P. (Respondent) Member Firm CRD No. 19801 Pursuant to FINRA Rule 9216, Respondent BGC Financial, L.P. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071994802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paulson Investment Company, LLC (Respondent) Member Firm CRD No. 5670 Pursuant to FINRA Rule 9216, Respondent Paulson Investment Company, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.