FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055673701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Citigroup Global Markets Inc. (CGMI) 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David R. Oakes CRD No. 1465154, Respondent. Disciplinary Proceeding No. 2018057755201 Hearing Officer - DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 9, 2020 INTRODUCTION Disciplinary Proceeding No. 2018057755201 was filed on March 11, 2020, by the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059035701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Michael Wesselt, Respondent CRD No. 2195569 Pursuant to FINRA Rule 9216, Respondent Richard Michael Wesselt submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.