FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072000902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Union Capital Company (Respondent) Member Firm CRD No. 110301 Pursuant to FINRA Rule 9216, Respondent Union Capital Company 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. 2021072554901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: LifeSci Capital, LLC (Respondent) Member Firm CRD No. 168404 Pursuant to FINRA Rule 9216, Respondent LifeSci Capital 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. 2021073543101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chris S. Stocks (Respondent) General Securities Representative CRD No. 2600346 Pursuant to FINRA Rule 9216, Respondent Chris S. Stocks 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. 2022076346501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew T. Higgins (Respondent) Investment Banking Representative CRD No. 4209849 Pursuant to FINRA Rule 9216, Respondent Matthew T. Higgins submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.