FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079725901 TO: Department of Enforcement Financial Industry Regulatory Authority (F[NRA) RE: Joseph Duffy Collins (Respondent) General Securities Representative CRD No. 7153386 Pursuant to FINRA Rule 9216, Respondent Joseph Duffy Collins 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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079728201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael L. Esposito (Respondent) General Securities Representative CRD No. 6506773 Pursuant to FINRA Rule 9216, Respondent Michael L. Esposito 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. 2023079740401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tara A. Nesdill (Respondent) Associated Person CRD No. 5510849 Pursuant to FINRA Rule 9216, Respondent Tara A. Nesdill 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 Disciplinary Proceeding No. 2018059178401 Department of Enforcement, Complainant, v. Austin R. Dutton, Jr. (CRD No. 2739167), Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between May 2014 and February 2020 (the “Relevant Period”), Respondent Austin R. Dutton, Jr. (“Dutton”) made unsuitable recommendations to 10 customers to purchase more than $1.2 million in alternative investments.