FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072841801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ellen Gayle Reynard (Respondent) Former General Securities Representative CRD No. 6148906 Pursuant to FINRA Rule 9216, Respondent Ellen Gayle Reynard 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.2020068025901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Eriksson (Respondent) Former Registered Representative CRD No. 2487298 Pursuant to FINRA Rule 9216, Respondent Christopher Eriksson 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. 2019063945301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Theodore M. Serure General Securities Representative CRD No. 419023 Pursuant to FINRA Rule 9216, Respondent Theodore M. Serure submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.