FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065022802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James E. Kelly (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2959343 Pursuant to FINRA Rule 9216, Respondent James E. Kelly 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. 2020065022801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tyrone M. Smiles (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4370937 Pursuant to FINRA Rule 9216, Respondent Tyrone Smiles 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. 2019064823601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William W. LeBoeuf (Respondent) Former General Securities Representative CRD No. 2464080 Pursuant to FINRA Rule 9216, Respondent William W. LeBoeuf 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. 2018058820103 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: McNally Financial Services Corporation (Respondent) Member Firm CRD No. 121196 Pursuant to FINRA Rule 9216, Respondent McNally Financial Services Corporation (MFS) 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. 2019064432901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Murray Todd Petersen, Respondent Former General Securities Representative and former General Securities Principal CRD No. 1311730 Pursuant to FINRA Rule 9216, Respondent Murray Todd Petersen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations