FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061185701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert P. Allen, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6267678 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert P. Allen submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.