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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075400501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Juan Carlos Sosa (Respondent) General Securities Representative CRD No. 4059846 Pursuant to FINRA Rule 9216, Respondent Juan Sosa submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069333101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tourmaline Partners, LLC (Respondent) Member Firm CRD No. 154492 Pursuant to FINRA Rule 9216, Respondent Tourmaline 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.

2019061350401 Stifel, Nicolaus & Company, Incorporated CRD 793 and Stifel Independent Advisors, LLC CRD 28218 AWC gg (2024-1714004411330).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061350401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stifel, Nicolaus & Company, Inc. (Respondent) Member Firm CRD No. 793 Stifel Independent Advisors, LLC, formerly known as Century Securities Associates, Inc. (Respondent) Member Finn CRD No. 28218 Pursuant to FINRA Rule 9216, Respondents Stifel, Nicolaus & Company, Inc.

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081427901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Francis Trimber (Respondent) Former General Securities Representative CRD No. 2765260 Pursuant to FINRA Rule 9216, Respondent Paul Francis Trimber submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075762601 David A. Dodson CRD 2363957 AWC lp (2024-1713745212638).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075762601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David A. Dodson (Respondent) Former General Securities Representative CRD No. 2363957 Pursuant to FINRA Rule 9216, Respondent David A. Dodson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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