FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062377901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Shiuan-Yee Liu, Respondent Former Investment Banking Representative CRD No. 6593452 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kevin Shiuan-Yee Liu 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. 2018059643701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Barnard, Former Registered Representative CRD No. 5504882 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Barnard 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. 2016049884201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: FIS Brokerage & Securities Services LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, FIS Brokerage & Securities Services LLC 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. 2019061993401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Kris Pina, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5922058 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Kris Pina submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.