FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061563601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: B.C. Ziegler and Company (Respondent) Member Firm CRD No. 61 Pursuant to FINRA Rule 9216, Respondent B.C. Ziegler and Company 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 condition that, if

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059184102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Yousef Abbasi (Respondent) General Securities Representative CRD No. 5251101 Pursuant to FINRA Rule 9216, Respondent Yousef Abbasi 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. 2019061893801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Lawrence Fowler (Respondent) General Securities Representative CRD No. 1092715 Pursuant to FINRA Rule 9216, Respondent Paul Lawrence Fowler 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Howell Poff (CRD No. 4078570), Respondent. DISCIPLINARY PROCEEDING NO. 2018058501502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2016 through February 2018, while registered with FINRA through LPL Financial LLC, Jason Howell Poff engaged in two undisclosed and unapproved outside business activities (OBAs) through a business that he owned and operated. In February 2016,