FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042444001 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Moors & Cabot, Inc., Respondent Member Firm CRD No. 594 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Moors & Cabot, Inc. (“Moors” or the “Firm”) 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. 2019062875201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Micah W. Patterson, Respondent Investment Company and Variable Contracts Products Representative and Investment Company and Variable Contracts Products Principal CRD No. 5562392 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Micah W. Patterson

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047855901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SG Americas Securities, LLC, Respondent Member Firm CRD No. 128351 Newedge USA, LLC, (n/k/a SG Americas Securities, LLC) Former Member Firm CRD No.