FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065734401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Elizabeth A. Morrell, Respondent Former General Securities Representative and Investment Company and Variable Products Representative CRD No. 4905003 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Elizabeth A. Morrell submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066576201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wesley James Evans Respondent Former Registered Representative CRD No. 6617516 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Wesley James Evans (Evans) 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. 2019061646402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eugene J. Long, Respondent General Securities Representative and General Securities Principal CRD No. 2386267 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Eugene J. Long 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. WILFREDO FELIX (CRD No. 2693672) and PRIMEX PRIME ELECTRONIC EXECUTION, INC. d/b/a PRIMEX (CRD No. 29394), Respondents. Disciplinary Proceeding No. 2018058286901 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION July 1, 2020 Respondent Wilfredo Felix is barred in all capacities for failing to provide a personal tax-related document during the investigation of this matter. Felix and Primex made and preserved inaccurate

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053677201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Patrick McLanahan, Respondent Registered Representative CRD No. 2356791 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Timothy Patrick McLanahan 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. 2019061646401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert J. McNamara, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1207495 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert J. McNamara submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.