FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076459307 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jack David Faller (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 1883661 Pursuant to FINRA Rule 9216, Respondent Jack David Faller 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. 2019060753510 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean P. McCabe (Respondent) General Securities Representative CRD No. 5479643 Pursuant to FINRA Rule 9216, Respondent Sean P. McCabe 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. 2023079220801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan Corona (Respondent) Former Investment Company and Variable Contracts Product Representative CRD No. 6025348 Pursuant to FINRA Rule 9216, Respondent Bryan Corona submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.