FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063913301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kim Millman (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2103467 Pursuant to FINRA Rule 9216, Respondent Kim Millman 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. Raymond A. Thomas CRD No. 1675282, Respondent. Disciplinary Proceeding No. 2017056561101 Hearing Officer-MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 2, 2020 INTRODUCTION Disciplinary Proceeding No. 2017056561101 was filed on March 6, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Wilfredo Felix CRD No. 2693672, Respondent. Disciplinary Proceeding No. 2020065128501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent WIlfredo Felix failed to provide information and documents that FINRA staff requested pursuant to FINRA Rule 8210. As a result, Felix violated FINRA Rules

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065149201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Great American Investors, Inc. (Respondent) Member Firm CRD No. 28489 Pursuant to FINRA Rule 9216, Respondent Great American Investors, Inc. (GAI) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.