FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071200801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Dominic Klickna (Respondent) Former General Securities Principal CRD No. 5640324 Pursuant to FINRA Rule 9216, Respondent Kevin Dominic Klickna 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. 2017054852001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Blaylock Van, LLC (Respondent) Member Firm CRD No. 145317 Pursuant to FINRA Rule 9216, Respondent Blaylock Van, LLC 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. Mark Sam Kolta, (CRD No. 5324620), Respondent. DISCIPLINARY PROCEEDING No. 2018057297102 COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1.