FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078183801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Kuchta (Respondent) Former Investment Banking Representative CRD No. 7503797 Pursuant to FINRA Rule 9216, Respondent Thomas Kuchta 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. 2022077235401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jesse Brett Butler (Respondent) General Securities Representative CRD No. 4260239 Pursuant to FINRA Rule 9216, Respondent Jesse Brett Butler submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.