FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056290001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dawson James Securities, Inc., Respondent Member Firm CRD No. 130645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Dawson James Securities, Inc. ("Dawson James" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056269001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA";) RE: Matthew Albers, Respondent Registration Status: General Securities Representative CRD No. 2917814 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Matthew Albers, 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. 2019061628401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Damien Berkowicz, Respondent Former General Securities Representative CRD No. 4306842 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Damien Berkowicz 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. 2018057528501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Orlando Vargas, Respondent Former General Securities Representative CRD No. 5703625 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. 2016052176301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beth Hamilton, Respondent General Securities Representative CRD No. 3092302 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Beth Ann Hamilton ("Hamliton" or "Respondent"), submit 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. 2017056514601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher C. Beghtel Respondent Former Registered Representative CRD No. 5837978 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.2018059411401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mengxuan Zhang Former General Securities Representative CRD No. 6548853 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Mengxuan Zhang, the Respondent, 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.2018057657501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Karen Paek, Respondent Former Registered Representative CRD No. 5985441 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Karen Paek 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. William Mark Heiden (CRD No. 2885156), Respondent. DISCIPLINARY PROCEEDING NO. 2017053182001 Hearing Officer-RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 5, 2019 INTRODUCTION Disciplinary Proceeding No. 2017053182001 was filed on January 17, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057785901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Jeffrey Alan Blutstein, Respondent General Securities Representative CRD No. 1398688 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jeffrey Alan Blutstein, submit this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations