FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2024081723301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Bailey (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6907048 Pursuant to FINRA Rule Christopher Bailey, 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. 2022074346001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paulson Investment Company LLC (Respondent) Member Firm CRD No. 5670 Pursuant to FINRA Rule 9216, Respondent Paulson Investment Company LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.