FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076282801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James R. Dickie (Respondent) Former General Securities Representative CRD No. 4465359 Pursuant to FINRA Rule 9216, Respondent James R. Dickie 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. 2023078870201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jorge Hernandez (Respondent) Former Investment Company Shares and Variable Contracts Representative CRD No. 5340171 Pursuant to FINRA Rule 9216, Respondent Jorge Hernandez (Hernandez) 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. 2018060897303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arni J. Diamond (Respondent) Former General Securities Representative CRD No. 2667392 Pursuant to FINRA Rule 9216, Respondent Arni J. Diamond 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. 2021073545201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: HSBC Securities (USA) Inc. (Respondent) Member Firm CRD No. 19585 Pursuant to FINRA Rule 9216, Respondent HSBC Securities (USA) Inc. 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, \VAIVER, AND CONSENT NO. 2023079873001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Todd Michael Lesk (Respondent) General Securities Representative CRD No. 2788300 Pursuant to FINRA Rule 9216, Respondent Todd Michael Lesk submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.