FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066141101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. (CGMI) 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Booth Kennedy CRD No. 4498061, Respondent Disciplinary Proceeding No. 2021072389001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between July 2020 and July 2021, Respondent Christopher Kennedy churned and excessively traded four accounts of six customers (Customers 1–6) as a registered representative of FINRA member Western International Securities. 2.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074181501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Adam Bruce Anderson (Respondent) General Securities Representative CRD No. 5157882 Pursuant to FINRA Rule 9216, Respondent Adam Bruce Anderson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.