FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071333601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jerome Richard Goldstein (Respondent) Former General Securities Representative, former General Securities Principal, former

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058278601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph A. Lianzo (Respondent) General Securities Representative CRD No. 4516842 Pursuant to FINRA Rule 9216, Respondent Joseph A. Lianzo 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. Alan Price (CRD No. 3181061), Respondent. Disciplinary Proceeding No. 2020066136801 FIRST AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In June 2019, the Respondent, Alan Price, borrowed $150,000 from MS, a 72-year-old customer of Edward Jones, the member firm with which Price was then associated. At the time of the loan, Edward Jones’ written procedures prohibited lending or borrowing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072190201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Matthew Izzo (Respondent) Former Investment Company and Variable Contracts Representative CRD No. 6339734 Pursuant to FINRA Rule 9216, Respondent John Matthew Izzo 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. 2021070757901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Madison (Respondent) Former General Securities Representative CRD No. 4323032 Pursuant to FINRA Rule 9216, Respondent Scott Madison submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.