FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078409001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cole Schmitz (Respondent) Former Associated Person CRD No. 7400235 Pursuant to FINRA Rule 9216, Respondent Cole Schmitz 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. 2019064742001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fenix Securities, LLC (Respondent) Member Firm CRD No. 159481 Pursuant to FINRA Rule 9216, Respondent Fenix Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.