FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073749901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jacob David Frankel Former General Securities Representative CRD No. 6496914 Pursuant to FINRA Rule 9216, Respondent Jacob David Frankel 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.2021070570001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel H. Vatterott (Respondent) General Securities Representative CRD No. 1263265 Pursuant to FINRA Rule 9216, Respondent Daniel H. Vatterott 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. 2020068810101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Justin H. Parkhurst (Respondent) General Securities Representative CRD No. 5202789 Pursuant to FINRA Rule 9216, Respondent Justin H. Parkhurst submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.