FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024080225701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kenneth Judd (Respondent) Former Investment Banking Principal CRD No. 7110607 Pursuant to FINRA Rule 9216, Respondent Kenneth Judd 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. 2023078409001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cole Schmitz (Respondent) Former Associated Person CRD No. 7400235 Pursuant to FINRA Rule 9216, Respondent Cole Schmitz submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.