FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061974501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Charles DeMark (Respondent) General Securities Representative CRD No. 1400019 Pursuant to FINRA Rule 9216, Respondent Paul Charles DeMark 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.2020067338101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Parrelly (Respondent) Former General Securities Representative CRD No. 728368 Pursuant to FINRA Rule 9216, Respondent James A. Parrelly 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. WORDEN CAPITAL MANAGEMENT LLC (CRD No. 148366), Respondent. Disciplinary Proceeding No. 2019064746502 Hearing Officer–MC DEFAULT DECISION June 27, 2022 Respondent Worden Capital Management LLC is expelled from FINRA and ordered to disgorge ill-gotten gains for fraudulently omitting material information in connection with the sales of securities, failing to fulfill its supervisory responsibilities in the sale of securities,