FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061474301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Joseph Bird, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5525237 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Scott Joseph Bird 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. 2019061760001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael R. Jeppson, Respondent CRD No. 1418378 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Michael Jeppson 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. JULIAN JAY PIEKARCZYK (CRD No. 1128773), Respondent. Disciplinary Proceeding No. 2018058117101 Hearing Officer–RES DEFAULT DECISION September 25, 2020 Respondent is barred from associating with any FINRA member in any capacity because, in violation of his employer firm’s policies, Respondent induced a customer to designate Respondent’s spouse as a beneficiary on financial products the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062980702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Steven Meyer, Respondent General Securities Representative, General Securities Principal, Introducing Broker-Dealer Financial and Operations Principal, and Operations Professional CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tripoint Global Equities, LLC (CRD No. 143174), Respondent. Disciplinary Proceeding No. 2017053409201 Hearing Officer—LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 24, 2020 INTRODUCTION Disciplinary Proceeding No. 2017053409201 was filed on May 29, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA” or “Complainant”). Respondent