FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067994801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John C. Shen (Respondent) General Securities Representative CRD No. 4859035 Pursuant to FINRA Rule 9216, Respondent John C. Shen 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. 2024082405101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Waldon Fenster (Respondent) Former Associated Person CRD No. 7678526 Pursuant to FINRA Rule 9216, Respondent Waldon Fenster 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. 2021071695501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Odeon Capital Group LLC (Respondent) Member Firm BD No. 148493 Pursuant to FINRA Rule 9216, Respondent Odeon Capital Group 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. 2024081647103 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Babatunde Abolarin (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2659399 Pursuant to FINRA Rule 9216, Respondent John Babatunde Abolarin 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. 2020068885401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Simone Alfredo Giuseppe Garofalo (Respondent) Former Foreign Associate CRD No. 7025823 Pursuant to FINRA Rule 9216, Respondent Simone Alfredo Giuseppe Garofalo 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. 2020068655901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kyle William Chapman (Respondent) Former General Securities Representative CRD No. 6303483 Pursuant to FINRA Rule 9216, Respondent Kyle William Chapman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.