FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056901701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: David Philip Antypas (“Antypas” or “Respondent”) General Securities Representative/General Securities Sales Supervisor CRD No. 2603488 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047175401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lori Sullivan Antolovic, Respondent General Securities Representative, Investment Banking Representative and Municipal Securities Principal CRD No. 1480968 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lori Sullivan Antolovic ("Antolovic" or Respondent), submit

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054867601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dinosaur Financial Group LLC, Respondent CRD No. 104446 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dinosaur Financial Group LLC ("Dinosaur" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062318301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elizabeth Stockwell, Respondent General Securities Representative CRD No. 6398497 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Elizabeth Stockwell submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052655301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Summit Brokerage Services, Inc. (CRD No 34643) Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Summit Brokerage Services, Inc. (“Summit” 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055355301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Ricardo de la Garza Emerich, Respondent General Securities Representative CRD No. 4246723 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Ricardo de la Garza Emerich, submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060051801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cheryl C. Blakey, Respondent CRD No. 6058053 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cheryl C. Blakey ("Blakey") 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. Ricky Alan Mantei (CRD # 1098981), Respondent. DISCIPLINARY PROCEEDING No. 2015045257501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Ricky Mantei circumvented the supervisory system of J.P. Turner & Company ("JPT") on three occasions over the course of a five-month period.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061700301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric Nichols, Respondent CRD No. 2710703 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Eric Nichols, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060814701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Diane Zhu Former Investment Company and Variable Contracts Products Representative and Investment Company and Variable Products Principal CRD No. 2962421 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Diane Zhu ("Zhu") submit this Letter of Acceptance, Waiver and Consent ("AWC")