FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079709101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathan E. Lemberg (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5955295 Pursuant to FINRA Rule 9216, Respondent Nathan E. Lemberg 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. 2024081392301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christian Scalia (Respondent) Former Associated Person CRD No. 7616259 Pursuant to FINRA Rule 9216, Respondent Christian Scalia 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. 2023079740601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Taulant Matthew Kodi (Respondent) Former Associated Person CRD No. 7091117 Pursuant to FINRA Rule 9216, Respondent Taulant Matthew Kodi 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. 2023079098201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elan Sanker (Respondent) Former General Securities Representative CRD No. 5580543 Pursuant to FINRA Rule 9216, Respondent Elan Sanker 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. 2022077410701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeremy D. Baldwin (Respondent) Former General Securities Representative CRD No. 5743175 Pursuant to FINRA Rule 9216, Respondent Jeremy D. Baldwin submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.