FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055249101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas S. Martin, Respondent General Securities Representative CRD No. 4500330 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas S. Martin ("Martin") 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. 2019063012001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Keith T. Rich, Respondent Former General Securities Representative CRD No. 6272427 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Keith T. Rich 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. 2017053034301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wells Fargo Advisors, LLC (n/k/a Wells Fargo Clearing Services, LLC), Respondent Member Firm CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059909701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Antonio Gutierrez Puente, Respondent Investment Company and Variable Contracts Products Representative CRD No. 2695224 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Antonio Gutierrez Puente, 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