FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081647102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Joseph Riccomini (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7427048 Pursuant to FINRA Rule 9216, Respondent Charles Joseph Riccomini 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. 2021073236801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pershing LLC (Respondent) Member Firm CRD No. 7560 Pursuant to FINRA Rule 9216, Respondent Pershing LLC 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. 2020067122301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Tabak (Respondent) General Securities Principal CRD No. 856416 Pursuant to FINRA Rule 9216, Respondent Jeffrey Tabak 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. 2019063302101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Riedl First Securities Company of Kansas (Respondent) Member Firm CRD No. 30812 Pursuant to FINRA Rule 9216, Respondent Riedl First Securities Company of Kansas submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.