FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARCO ANTONIO RIVERA (CRD No. 7003078), Respondent. Disciplinary Proceeding No. 2020068740302 Hearing Officer-BEK DEFAULT DECISION April 14, 2022 Respondent is barred from associating with any FINRA member in any capacity for failing to provide information and documents to FINRA staff.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROGER BRAXTON II (CRD No. 6271694), Respondent Disciplinary Proceeding No. 2020066388801 Hearing Officer-MJD DEFAULT DECISION April 14, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents during a FINRA investigation, in violation of FINRA Rule 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074280901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Anthony Riposo (Respondent) Former General Securities Representative and General Securities Principal CRD No. 400056 Pursuant to FINRA Rule 9216, Respondent Philip Anthony Riposo 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. 2020066952201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Tayib Lund (Respondent) Former General Securities Representative CRD No. 6504480 Pursuant to FINRA Rule 9216, Respondent John Tayib Lund 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. 2021070733401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Wayne Mooney (Respondent) Former Investment Company Products Variable Contracts Representative CRD No. 5230596 Pursuant to FINRA Rule 9216, Respondent Robert Wayne Mooney ("Mooney") submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.