FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066123601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kyle Benjamin Baker (Respondent) General Securities Representative CRD No. 4933282 Pursuant to FINRA Rule 9216, Respondent Kyle Benjamin Baker 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. 2020065100701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dawson James Securities, Inc. (Respondent) Member Firm CRD No. 130645 Robert Dawson Keyser Jr. (Respondent) General Securities Representative and General Securities Principal CRD No. 1291503 Pursuant to FINRA Rule 9216, Respondents Dawson James Securities, Inc. and Robert Dawson Keyser Jr.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069335701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Spaulding Gleason Jr. (Respondent) Former General Securities Representative CRD No. 1415067 Pursuant to FINRA Rule 9216, Respondent Robert Spaulding Gleason Jr. 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. 2023079717201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sanford Cohen (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 1509386 Pursuant to FINRA Rule 9216, Respondent Sanford Cohen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.