FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078217101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gregory Alan Corrie Former Investment Company and Variable Contracts Products Representative CRD No. 1982814 Pursuant to FINRA Rule 9216, Respondent Gregory Alan Corrie 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. 2018057892601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantor Fitzgerald & Co. (Respondent) Member Firm CRD No. 134 Pursuant to FINRA Rule 9216, Respondent Cantor Fitzgerald & Co. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.