FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058547502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tony Kassaei, Respondent Former General Securities Principal and Former General Securities Representative CRD No. 4375259 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Tony Kassaei 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. 2019062898301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shawna J. Loveland, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5434702 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Shawna J. Loveland 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. 2019060749102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nina Maines, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 2496408 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Nina Maines submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.