FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lynn Dale Cawthorne CRD No. 3211221, Respondent. Disciplinary Proceeding No. 2018059919702 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 16, 2020 INTRODUCTION Disciplinary Proceeding No. 2018059919702 was filed on August 25, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Lynn Dale Cawthorne

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054755208 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Efrain B. Trujillo (Respondent) General Securities Principal and General Securities Representative CRD No. 3106482 Pursuant to FINRA Rule 9216, Respondent Efrain B. Trujillo 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. 2017054755207 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brett S. Briggs (Respondent) General Securities Principal, General Securities Sales Supervisor, and General Securities Representative CRD No. 1226255 Pursuant to FINRA Rule 9216, Respondent Brett S. Briggs 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