FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076459305 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicholas Michael Caruso (Respondent) Former General Securities Representative CRD No. 7301382 Pursuant to FINRA Rule 9216, Respondent Nicholas Michael Caruso submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.