FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064190001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tracy M. Meade, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6145108 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Tracy M. Meade 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. 2019061168602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Ortega, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6676466 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Ortega 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. 2018060213202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexander Edward Walker (Respondent) Former General Securities Representative CRD No. 6164661 Pursuant to FINRA Rule 9216, Respondent Alexander Edward Walker submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the