FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056490306 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Murat Kartal (Respondent) Former General Securities Representative CRD No. 6346419 Pursuant to FINRA Rule 9216, Respondent Murat Kartal 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. 2020067785301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicholas J. Tocco (Respondent) Former Compliance Officer Former General Securities Principal CRD No. 5482327 Pursuant to FINRA Rule 9216, Respondent Nicholas J. Tocco 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. 2022075008501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Tri Truong (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 7029983 Pursuant to FINRA Rule 9216, Respondent James Tri Truong (Truong) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.