FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079718101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alan N. Lichtenstein (Respondent) General Securities Representative CRD No. 1877017 Pursuant to FINRA Rule 9216, Respondent Alan N. Lichtenstein 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. 2022077202301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Katelyn Rae Cordido Reese (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6516916 Pursuant to FINRA Rule 9216, Respondent Katelyn Rae Cordido Reese submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.