FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068006501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald Coy Bailey (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6270312 Pursuant to FINRA Rule 9216, Respondent Ronald Coy Bailey 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. 2019062351401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Glendale Securities, Inc. (Respondent) Member Firm CRD No. 123649 Pursuant to FINRA Rule 9216, Respondent Glendale Securities, Inc. 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. 2022076046801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dusty Lynn Sternadel (Respondent) General Securities Representative CRD No. 5872600 Pursuant to FINRA Rule 9216, Respondent Dusty Lynn Sternadel submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.