FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073421503 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent W. LaBarbara (Respondent) General Securities Representative CRD No. 1108987 Pursuant to FINRA Rule 9216, Respondent Vincent W. LaBarbara 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. 2022075315101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Interactive Brokers, LLC (Respondent) Member Firm CRD No. 36418 Pursuant to FINRA Rule 9216, Respondent Interactive Brokers, LLC (Interactive) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.