FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072592201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Kiyoto Hirata (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1188927 Pursuant to FINRA Rule 9216, Respondent Steven Hirata 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. 2021073523801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul S. Vavrinchik (Respondent) Former General Securities Representative CRD No. 5505145 Pursuant to FINRA Rule 9216, Respondent Paul S. Vavrinchik 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. 2019061652402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Charles Levine (Respondent) General Securities Principal and General Securities Representative CRD No. 2569418 Pursuant to FINRA Rule 9216, Respondent David Charles Levine 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. 2019064218701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Norris Smith (Respondent) Investment Company and Variable Contracts Products Representative and General Securities Representative CRD No. 2833891 Pursuant to FINRA Rule 9216, Respondent Philip Norris Smith 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. 2019064218702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Camille Cordova (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6734084 Pursuant to FINRA Rule 9216, Respondent Camille Cordova submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.