FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051884601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mizuho Securities USA LLC, Respondent Broker-Dealer CRD No. 19647 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Mizuho Securities USA LLC ("Mizuho", the "Firm" or "Respondent") 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. 2019064729701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marie Bernadette Kincheloe, Respondent Former Registered Representative CRD No. 6527523 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Marie Bernadette Kincheloe (Kincheloe) 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. 2015045755510 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas A. Sanzone, Respondent Former General Securities Principal CRD No. 1646194 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Douglas A. Sanzone (“Sanzone” or “Respondent”) 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. 2015045755501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Grifonetti, Respondent Former General Securities Principal CRD No. 3040205 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Grifonetti (“Grifonetti” or “Respondent") 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. Tripoint Global Equities, LLC (CRD No. 143174), and Mark Elenowitz (CRD No. 2057802), Respondents. Disciplinary Proceeding No. 2017053409201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 2015 through August 2016, Respondents Tripoint Global Equities,