FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048071901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas Raymond Williams, Respondent General Securities Representative General Securities Principal CRD No. 3176294 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas Raymond Williams ("Respondent" or "Williams"), submits this Letter of Acceptance, Waiver and Consent

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No 86497/July 26, 2019 Admin. Proc. File No. 3-18359 In the Matter of the Application of MEYERS ASSOCIATES, L.P. (n/k/a WINDSOR STREET CAPITAL, L.P.) and BRUCE MEYERS For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDING Former member firm and its former principal appeal from FINRA disciplinary action

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054848101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jonathon Hartwig Associated Person CRD No. 6370247 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jonathon Hartwig ("Hartwig" or "Respondent") submit 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. 2017053681001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: George McElroy, Respondent Former Registered Representative CRD No. 1807305 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 rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038210402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aegis Capital Corp., Respondent Broker-Dealer CRD No. 15007 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Aegis Capital Corp. (the "Firm" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055439501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Hardin Alexander, Respondent General Securities Representative CRD No. 4751186 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Hardin Alexander ("Alexander"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057708001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey Wade Lundstrom, Respondent Former Investment Company Products/Variable Contracts Representative CRD No. 2377839 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 rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042373804 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clearpool Execution Services, LLC, Respondent Broker-Dealer CRD No. 168490 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Clearpool Execution Services, LLC ("Clearpool," the "firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058322401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dennis Carey Ward, Respondent Registered Representative CRD No. 1210684 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 rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM JAMES POTTER (CRD No. 1281826), Respondent. DISCIPLINARY PROCEEDING NO. 2017052871401 HEARING OFFICER–MC EXTENDED HEARING PANEL DECISION August 7, 2019 Respondent is barred from associating with any member firm in any capacity for conversion and unethical business conduct, including misuse of funds. He is ordered to pay $250,000 in restitution, and hearing costs.