FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072363201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin J. Carroll (Respondent) Former General Securities Representative and General Securities Principal CRD No. 3124942 Pursuant to FINRA Rule 9216, Respondent Kevin J. Carroll 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. 2022075403801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Corey Quintons (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7173106 Pursuant to FINRA Rule 9216, Respondent Joseph Corey Quintons 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. 2022076503701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ethan Christopher Martin (Respondent) Former General Securities Representative CRD No. 7376480 Pursuant to FINRA Rule 9216, Respondent Ethan Christopher Martin (“Martin”) 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. 2020067046901 TO: Department of Enforcement Financial Industry Regulatory Authority (FlNRA) RE: Anthony L. Cross (Respondent) General Seeuri tics Representative CRD No. 3155726 Pursuant to FINRA Ruic 9216, Respondent Anthony L. Cross 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. 2019062264901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Traderfield Securities Inc. (Respondent) Member Firm CRD No. 20130 Mario Divita (Respondent) General Securities Principal CRD No. 1504199 Pursuant to FINRA Rule 9216, Respondents Traderfield Securities Inc. and Mario Divita submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.