FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071665401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Suzanne Therese Charrin (Respondent) Former General Securities Representative CRD No. 4487222 Pursuant to FINRA Rule 9216, Respondent Suzanne Therese Charrin 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. 2020067160501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Electronic Transaction Clearing, Inc. (Respondent) Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216, Respondent Electronic Transaction Clearing, Inc. (ETC) 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. 2021071932301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nomura Securities International, Inc. (Respondent) Member Firm CRDNo. 4297 Pursuant to FINRA Rule 9216, Respondent Nomura Securities International, Inc. (Nomura) 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. 2018056485301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Corinthian Partners, LLC (Respondent) Member Firm CRD No. 38912 Pursuant to FINRA Rule 9216, Respondent Corinthian Partners, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.