FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079254301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Craig Brickman (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4042866 Pursuant to FINRA Rule 9216, Respondent Michael Craig Brickman 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. CANTONE RESEARCH INC. (CRD No. 26314), ANTHONY J. CANTONE (CRD No. 1066139), and RAYMOND J. DEROBBIO (CRD No. 1092310), Respondents. Disciplinary Proceeding No. 2017055886402 Hearing Officer–LOM EXTENDED HEARING PANEL DECISION January 25, 2024 Respondents sold municipal bonds without a reasonable basis to believe them suitable for any investor because they conducted inadequate due diligence, in willful violation of MSRB Rule G-19.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CANTONE RESEARCH INC. (CRD No. 26314), ANTHONY J. CANTONE (CRD No. 1066139), and RAYMOND J. DEROBBIO (CRD No. 1092310), Respondents. Disciplinary Proceeding No. 2017055886402 Hearing Officer–LOM EXTENDED HEARING PANEL DECISION January 25, 2024 Respondents sold municipal bonds without a reasonable basis to believe them suitable for any investor because they conducted inadequate due diligence, in willful violation of MSRB Rule G-19.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Ryan Petruska CRD No. 4907900, Respondent. Disciplinary Proceeding No. 2022076149301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Michael Ryan Petruska, while registered with FINRA through an association with member firm Equitable Advisors, LLC (CRD No. 6627), willfully failed to amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose that he been charged with a felony.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077755201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lori Fleischhacker Copeland (Respondent) Former General Securities Representative CRD No. 6437019 Pursuant to FINRA Rule 9216, Respondent Lori Fleischhacker Copeland submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.