FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, W AIYER, AND CONSENT NO. 2021072096901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Leo R. Vassallo (Respondent) Former General Securities Representative CRD No. 1920639 Pursuant to FINRA Rule 9216, Respondent Leo R. Vassallo 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. 2023079264201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rudy R. Mejia, Jr. (Respondent) Former General Securities Representative CRD No. 6041154 Pursuant to FINRA Rule 9216, Respondent Rudy R. Mejia, Jr. 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John Lowry, CRD No. 4336146,and Kim Monchik CRD No. 2528972, Respondents. Disciplinary Proceeding No. 2022075597101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1.Between May 2022 and October 2023, respondent John Lowry failed to timelyrespond to two requests made pursuant to FINRA Rule 8210 until after FINRA issued two follow-up Rule 8210 requests and initiated two expedited proceedings to compel compliance.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070695401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BBVA Securities Inc. (Respondent) Member Firm CRD No. 27060 Pursuant to FINRA Rule 9216, Respondent BBVA Securities Inc. 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. 2023079530001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jacob H. Fournier (Respondent) Former General Securities Representative CRD No. 7442521 Pursuant to FINRA Rule 9216, Respondent Jacob H. Fournier submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.