Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents as required by FINRA Rule 8210.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071593001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean C. Gordon (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 3057652 Pursuant to FINRA Rule 9216, Respondent Sean Gordon 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. 2018060895801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: FSC Securities Corporation (Respondent) Member Firm CRD No. 7461 Royal Alliance Associates, Inc. (Respondent) Member Firm CRD No. 23131 SagePoint Financial, Inc. (Respondent) Member Firm CRD No. 133763 Woodbury Financial Services, Inc. (Respondent) Member Firm CRD No.