BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Spartan Capital Securities, LLC, John D. Lowry, and Kim M. Monchik, New York, New York, Respondent. DECISION Complaint No. 2019061528001 Dated: October 9, 2024. Member firm failed to amend, or timely amend, on 220 occasions, the Forms U4 and Forms U5 of its registered representatives to disclose the filing or disposition of customer arbitrations, the receipt or disposition of written customer complaints, and reportable financial events.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066940501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Drexel Hamilton, LLC Member Firm CRD No. 143570 Michael Ivcic General Securities Representative CRD No. 6247801 Frederick Phelan General Securities Representative CRD No. 5838146 David Steigerwald General Securities Representative CRD No. 1347207 Thomas McClure Mead, Jr. Former Municipal Securities Principal CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080042101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CUNA Brokerage Services, Inc. (Respondent) Member Firm CRD No. 13941 Pursuant to FINRA Rule 9216, Respondent CUNA Brokerage Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.