FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068502001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Letisha L. Clarke-Ekwunife (Respondent) Former General Securities Representative CRD No. 6621090 Pursuant to FINRA Rule 9216, Respondent Letisha L. Clarke-Ekwunife 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. Daniel Minich (CRD No. 6465746), Respondent. Disciplinary Proceeding No. 2020066999801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1.Between June 2019 and October 2019 (the “Relevant Period”), while associated with Ameriprise Financial Services, LLC (CRD No. 6363) (“Ameriprise” or the “Firm”), Respondent Daniel Minich (“Minich”) participated in three private securities transactions totaling approximately $200,000 without providing prior written notice to Ameriprise.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068754301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vanessa Koliver (Respondent) Former General Securities Representative CRD No. 6804444 Pursuant to FINRA Rule 9216, Respondent Vanessa Koliver submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.