FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078431201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Keith Jones (Respondent) General Securities Representative CRD No. 4203098 Pursuant to FINRA Rule 9216, Respondent Brian Keith Jones 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. Sidney Lebental, CRD No. 5543658, Respondent. Disciplinary Proceeding No. 2019063152202 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2019063152202 was filed on May 23, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Sidney Lebental submitted an Offer of Settlement (Offer) to Complainant dated March 26, 2024.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079710301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark W. Manning (Respondent) Former General Securities Representative CRD No. 2599852 Pursuant to FINRA Rule 9216, Respondent Mark W. Manning submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.