FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075401701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Howard Stuart Rothman (Respondent) General Securities Representative CRD No. 5685224 Pursuant to FINRA Rule 9216, Respondent Howard Stuart Rothman 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. 2019063946701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David H. Miller (Respondent) Former General Securities Representative and General Securities Principal CRD No. 4648882 Pursuant to FINRA Rule 9216, Respondent David H. Miller 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. 2022073783401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Floyd Garraway Former Investment Company and Variable Contracts Products Representative CRD No. 7132872 Pursuant to FINRA Rule 9216, Respondent James Floyd Garraway submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.