FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063499505 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC, (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC 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. 2023079740001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Salvatore A. LaRocca (Respondent) General Securities Representative CRD No. 1742689 Pursuant to FINRA Rule 9216, Respondent Salvatore A. LaRocca 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. 2023078455601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brett Arthur Hartvigson (Respondent) Former General Securities Representative CRD No. 2263087 Pursuant to FINRA Rule 9216, Respondent Brett Arthur Hartvigson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.