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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PARTHO S. GHOSH (CRD No. 1983427), Respondent. Disciplinary Proceeding No. 2016051615301 Hearing Officer-DRS EXTENDED HEARING PANEL DECISION Date: August 7, 2019 For engaging in outside business activities without providing prior written notice to his member firm employer, Respondent Partho S. Ghosh is fined $25,000, suspended for six months from associating with and

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058889101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory John Braccili, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5992725 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gregory John Braccili submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061408701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Eric Johnson, Respondent Former General Securities Principal and General Securities Representative CRD No. 2261413 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Eric Johnson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062412601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas John Marino, Respondent Registered Representative CRD No. 4438533 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Thomas John Marino ("Marino" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule