FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054491001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wedbush Securities Inc. (Respondent) Member Firm CRD No. 877 Pursuant to FINRA Rule 9216, Respondent Wedbush Securities Inc. 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.2021072263801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David B. Test (Respondent) General Securities Representative, Investment Company and Variable Contracts Products Representative, and Variable Contracts Products Principal CRD No. 2341570 Pursuant to FINRA Rule 9216, Respondent David B. Test submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Bradley C. Reifler Millbrook, NY, Respondent. DECISION Complaint No. 2016050924601r Dated: January 17, 2023 On remand from the Securities and Exchange Commission for redetermination of sanctions. Held, sanctions reaffirmed. Appearances For the Complainant: Jennifer L. Crawford, Esq., Megan P. Davis, Esq., Matthew Ryan, Esq., Kevin Hartzell, Esq., Lisa Colone, Esq., Department of Enforcement