FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066192703 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert W. Vial (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1722789 Pursuant to FINRA Rule 9216, Respondent Robert W. Vial 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. 2020066192702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lance E. Baraker (Respondent) Former General Securities Representative CRD No. 4647994 Pursuant to FINRA Rule 9216, Respondent Lance E. Baraker 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. 2020066192701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen R. Green (Respondent) Former General Securities Representative CRD No. 2853952 Pursuant to FINRA Rule 9216, Respondent Stephen R. Green submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.