FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064188001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William H. Dixon (Respondent) General Securities Representative CRD No. 68881 Pursuant to FINRA Rule 9216, Respondent William H. Dixon 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. 2020066794901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jue-Hua Rae Yau (Respondent) General Securities Representative (GSR) CRD No. 5664387 Pursuant to FINRA Rule 9216, Respondent Jue-Hua Rae Yau 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. 2019064630801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Candido J. Viyella (Respondent) Former General Securities Representative and Investment Banking Representative CRD No. 1829255 Pursuant to FINRA Rule 9216, Respondent Candido J. Viyella submits this Letter of Acceptance, Waiver, and Consent (AWC)

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068815701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hung Sam (Respondent) Former General Securities Representative CRD No. 6065447 Pursuant to FINRA Rule 9216, Respondent Hung Sam submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.