FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061789201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Harrington, Jr. (Respondent) Former General Securities Representative CRD No. 5250991 Pursuant to FINRA Rule 9216, Respondent Christopher Harrington, Jr. 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. 2022075178601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ariya Pejouhesh (Respondent) General Securities Representative CRD No. 5059630 Pursuant to FINRA Rule 9216, Respondent Pejouhesh 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. 2022074196801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kiffin Anderson (Respondent) General Securities Representative CRD No. 4668159 Pursuant to FINRA Rule 9216, Respondent Kiffin Anderson 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. 2023078342801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Phillip Simpson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5335897 Pursuant to FINRA Rule 9216, Respondent Thomas Phillip Simpson 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. 2019061216402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John James Hoidas (Respondent) Former General Securities Representative CRD No. 1937971 Pursuant to FINRA Rule 9216, Respondent John J. Hoidas 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. 2021072252801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Civiletti (Respondent) Former General Securities Representative CRD No. 2246140 Pursuant to FINRA Rule 9216, Respondent Joseph Civiletti submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.