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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064715701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard A. Hogan (Respondent) Former General Securities Principal and General Securities Representative CRD No. 1754577 Pursuant to FINRA Rule 9216, Respondent Richard A. Hogan, 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. GREGORY SCOTT HANSHEW (CRD No. 2624600), Respondent. Disciplinary Proceeding No. 2021071060902 Hearing Officer—BEK DEFAULT DECISION July 25, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents to FINRA staff, in violation of FINRA Rules 8210 and 2010.