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.

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076282401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel VanSkiver (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4255472 Pursuant to FINRA Rule 9216, Respondent Daniel VanSkiver submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.