FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075390901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brenton Charles Schmidt (Respondent) General Securities Representative CRD No. 3093473 Pursuant to FINRA Rule 9216, Respondent Brenton Charles Schmidt 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. 2023078687101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pedro Ostia-Vega (Respondent) Canada Module-General Securities Registered Representative (With Options) CRD No. 6181372 Pursuant to FINRA Rule 9216, Respondent Pedro Ostia-Vega 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. 2024083372201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ahmad M. Maklouf (Respondent) Former General Securities Representative CRD No. 6092943 Pursuant to FINRA Rule 9216, Respondent Ahmad M. Maklouf submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Spartan Capital Securities, LLC, John D. Lowry, and Kim M. Monchik, New York, New York, Respondent. DECISION Complaint No. 2019061528001 Dated: October 9, 2024. Member firm failed to amend, or timely amend, on 220 occasions, the Forms U4 and Forms U5 of its registered representatives to disclose the filing or disposition of customer arbitrations, the receipt or disposition of written customer complaints, and reportable financial events.