FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069332001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roger Philip Turcotte (Respondent) General Securities Representative, Investment Company and Variable Contracts Products Representative, and Investment Company and Variable Contracts Products Principal CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074599001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Glenn E. Bridwell (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 1783191 Pursuant to FINRA Rule 9216, Respondent Glenn E. Bridwell 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. 2023079739801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Frank Deo (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 3145183 Pursuant to FINRA Rule 9216, Respondent Christopher Frank Deo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.