FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059491102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James D'Meo, Respondent Former Investment Company and Variable Contracts Products CRD No. 1444759 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James D'Meo 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. 2018059907201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alastair Jamie Barnes, Respondent Former General Securities Representative ("GSR") CRD No. 6355496 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Alastair Jamie Barnes 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. 2016050018101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jerry M. Wells, Respondent General Securities Representative, Investment Company and Variale Contracts Products CRD No. 1015358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jerry M. Wells submits 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. 20160488490-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: PUMA Capital, LLC, Respondent Broker-Dealer CRD No. 146744 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent PUMA Capital, LLC (the "firm" or "PUMA Capital") submits 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. 2019062450201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Yasmin Bashirova, Respondent Investment Banking Representative CRD No. 6682110 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Yasmin Bashirova ("Respondent" or "Bashirova") submits 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. 2018059111001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chelsea Financial Services, Respondent Member Firm CRD No.