FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071992801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Archie Abel Blood (Respondent) Former General Securities Representative, Investment Company and Variable Contracts Products Representative and Direct Participation Program Representative CRD No. 1861277 Pursuant to FINRA Rule 9216, Respondent Archie Abel Blood 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. Roger Lee Arnold CRD No. 5284151, Respondent. Disciplinary Proceeding No. 2021072142202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Roger Lee Arnold failed to respond to three FINRA requests for information and documents made pursuant to FINRA Rule 8210 as part of FINRA staff’s investigation into the circumstances surrounding Arnold’s resignation from his FINRA member firm. As a result, Arnold violated FINRA Rules 8210 and 2010.