FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER,AND CONSENT NO.2023079717301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alfred Schefer (Respondent) Investment Company and Variable Contracts Products Representative and Direct Participation Programs Representative CRD No. 1809353 Pursuant to FINRA Rule 9216, Respondent Alfred Schefer 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. 2023079729201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Edward Johnson (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2363510 Pursuant to FINRA Rule 9216, Respondent Robert Edward Johnson 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. 2023078107201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ravi D Parmar (Respondent) Former Non-Registered Associated Person CRD No. 4466633 Pursuant to FINRA Rule 9216, Respondent Ravi D Parmar 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. 2023079726101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Kevin Mathesen (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5799049 Pursuant to FINRA Rule 9216, Respondent Joseph Kevin Mathesen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.