FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070719701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sara Qazi (Respondent) General Securities Representative CRD No. 4118177 Pursuant to FINRA Rule 9216, Respondent Sara Qazi (Qazi) 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. 2023078996901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David R. Stuart (Respondent) Former General Securities Representative CRD No. 857819 Pursuant to FINRA Rule 9216, Respondent Davis R. Stuart (Stuart) 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. 2021073535701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hector Jesus Hernandez (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4654126 Pursuant to FINRA Rule 9216, Respondent Hector Jesus Hernandez submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.