FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044133101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc., Respondent Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Barclays Capital Inc. (Barclays or the Firm) 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. Lynn Dale Cawthorne CRD No. 3211221, Respondent. Disciplinary Proceeding No. 2018059919702 Hearing Officer – COMPLAINT Department of Enforcement alleges: SUMMARY 1. Lynn Dale Cawthorne failed to comply with FINRA’s requests for information made pursuant to FINRA Rule 8210 in June, August, September, and November 2019 in connection with an investigation of (a) his failure to disclose multiple felony charges and (b) other

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060543701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jose A. Yniguez, Respondent Investment Company and Variable Contracts Products Representative CRD No. 4945380 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jose A. Yniguez (Yniguez) 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. 2018057457101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CFD Investments, Inc. Member Firm CRD No. 25427 Matthew Bahrenburg General Securities Principal CRD No. 5295661 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents CFD Investments, Inc. and Matthew Bahrenburg submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019060749101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael F. Coomes, Jr., Respondent General Securities Representative and General Securities Principal CRD No. 2699173 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Michael F. Coomes, Jr. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.