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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059134401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kawa Saeed Foad, Respondent Corporate Securities Representative General Securities Representative CRD No. 5374361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kawa Saeed Foad ("Foad" 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.