FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081647103 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Babatunde Abolarin (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2659399 Pursuant to FINRA Rule 9216, Respondent John Babatunde Abolarin 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. 2020068885401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Simone Alfredo Giuseppe Garofalo (Respondent) Former Foreign Associate CRD No. 7025823 Pursuant to FINRA Rule 9216, Respondent Simone Alfredo Giuseppe Garofalo 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. 2020068655901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kyle William Chapman (Respondent) Former General Securities Representative CRD No. 6303483 Pursuant to FINRA Rule 9216, Respondent Kyle William Chapman 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. 2020067800801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Newbridge Securities Corporation (Respondent) Member Firm CRD No. 104065 Pursuant to FINRA Rule 9216, Respondent Newbridge Securities Corporation 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. 2023079677001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas W. Rinek (Respondent) Former General Securities Representative CRD No. 2171430 Pursuant to FINRA Rule 9216, Respondent Thomas W. Rinek submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.