FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076895001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Dean Connally (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2570561 Pursuant to FINRA Rule 9216, Respondent Richard Dean Connally 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. 2023079817501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Allen Gibbs (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2917334 Pursuant to FINRA Rule 9216, Respondent David Allen Gibbs 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. 2023080140101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniella R. Rand (Respondent) Former General Securities Principal CRD No. 4321414 Pursuant to FINRA Rule 9216, Respondent Daniella R. Rand 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. 2023079728101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Amina Kennedy (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 6308000 Pursuant to FINRA Rule 9216, Respondent Amina Kennedy submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.