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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024083048001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rajesh Markan (Respondent) Former General Securities Representative CRD No. 4553309 Pursuant to FINRA Rule 9216, Respondent Rajesh Markan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.