FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065196802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Francis Dalton, Respondent General Securities Representative CRD No. 60216 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Francis Dalton ("Respondent" or "Dalton") 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. 2018059598101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Angela Marie Chatfield, Respondent General Securities Representative CRD No. 6597761 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Angela Marie Chatfield ("Chatfield" or "Respondent") 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. 2020065196801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Gray Dalton, Respondent General Securities Representative CRD No. 2418235 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Gray Dalton ("Respondent" or "Dalton") 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. Lek Securities Corp., CRD No. 33135, and Samuel Frederik Lek, CRD No. 1642936, Respondents. Disciplinary Proceeding No. 2015045312501 Hearing Officer - DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 20, 2019 INTRODUCTION Disciplinary Proceeding No. 2015045312501 was filed on November 26, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064915301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald W. Hannes, Respondent Investment Company and Variable Contracts Products Representative CRD No. 1462241 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ronald W. Hannes 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. 2019063516001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew J. Bussard, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6803371 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Matthew J. Bussard submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.