Holiday Reminder Regarding ADF Market Data

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062964801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John D. Craft (Respondent) General Securities Representative CRD No. 1844174 Pursuant to FINRA Rule 9216, Respondent John D. Craft submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063651401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Angel Lynn Simpson General Securities Representative CRD No. 6488474 Pursuant to FINRA Rule 9216, Respondent Angel Simpson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046716901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cetera Advisor Networks LLC, Respondent Member Firm CRD No. 13572 Cetera Advisors LLC, Respondent Member Firm CRD No. 10299 Cetera Financial Specialists LLC, Respondent Member Firm CRD No. 10358 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Cetera Advisor Networks LLC, Cetera Advisors LLC