FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063821607 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Stone Capital L.L.C. (Respondent) Member Firm CRD No. 159744 Pursuant to FINRA Rule 9216, Respondent Joseph Stone Capital, L.L.C. 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. 2020068452801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Crystal Turk (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6181357 Pursuant to FINRA Rule 9216, Respondent Crystal Turk 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. Jordan Palmer John (CRD No. 6924720), Respondent. Disciplinary Proceeding No. 2021071672302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jordan Palmer John failed to respond in any way to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210. As a result, John violated FINRA Rules 8210 and 2010.