FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061440201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pratul V. Agnihotri, Respondent General Securities Representative CRD No. 4031797 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Pratul V. Agnihotri 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. 2018058742701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John P. Borne, Respondent Former Registered Representative CRD No. 4352826 In accordance with FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John P. Borne 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. 2019063229301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marcus A. Beasley (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 3157595 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Marcus A. Beasley submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations