FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2023079296701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Zachary Ross McCraw (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7003820 Pursuant to FINRA Rule 9216, Respondent Zachary Ross McCraw 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. 2022076214401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Diptes Basu (Respondent) Former General Securities Representative CRD No. 6185923 Pursuant to FINRA Rule 9216, Respondent Diptes Basu submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.