FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076214401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Diptes Basu (Respondent) Former General Securities Representative CRD No. 6185923 Pursuant to FINRA Rule 9216, Respondent Diptes Basu 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. 2022076162101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Laura Casey (Respondent) Former General Securities Representative CRD No. 2684465 Pursuant to FINRA Rule 9216, Respondent Laura Casey submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.