FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063631801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Philip Joseph Sparacino, Respondent Former Corporate Securities Representative and Registered Options Representative CRD No. 3243960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Philip Joseph Sparacino 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. 2018059391501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jun Zhou, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2825595 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jun Zhou 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. 2018057112001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John G. Hoagland, Respondent Former Registered Representative CRD No. 247075 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John G. Hoagland submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.