FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062875201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Micah W. Patterson, Respondent Investment Company and Variable Contracts Products Representative and Investment Company and Variable Contracts Products Principal CRD No. 5562392 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Micah W. Patterson

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047855901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SG Americas Securities, LLC, Respondent Member Firm CRD No. 128351 Newedge USA, LLC, (n/k/a SG Americas Securities, LLC) Former Member Firm CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057508101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J.P. Morgan Securities LLC, Respondent Member Firm CRD No. 79 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent J.P. Morgan Securities LLC ("JPMS" 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 LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061456701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ryan M. Davis, Respondent General Securities Representative CRD No. 6219294 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ryan Davis 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. 2015044347801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Exane, Inc., Respondent Member Firm CRD No. 41784 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Exane, Inc. (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. This AWC is submitted on the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059526701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Benard Gann, Respondent CRD No. 2459622 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Benard Gann 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. 2019061329701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric Lowell Small, Respondent Registered Representative CRD No. 2140208 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Eric Lowell Small ("Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Sandlapper Securities, LLC, Greenville, SC, Trevor Lee Gordon, Greenville, SC, and Jack Charles Bixler, Greenville, SC, Respondents. DECISION Complaint No. 2014041860801 Dated: June 23, 2020 Member firm, its chief executive officer, and its vice-president misrepresented and omitted material facts concerning sales of fractional interests in saltwater disposal wells. In addition, the firm's chief executive