FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065116601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CICC US Securities, Inc. Member Firm CRD No. 143221 Pursuant to FINRA Rule 9216, Respondent CICC US Securities, Inc. 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. 2021071851101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sanford Graham Simmons (Respondent) Former General Securities Representative CRD No. 1018907 Pursuant to FINRA Rule 9216, Respondent Sanford Graham Simmons 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. 2023079291701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark G. Beesley (Respondent) Former General Securities Principal & General Securities Representative CRD No. 5362689 Pursuant to FINRA Rule 9216, Respondent Mark G. Beesley (Beesley) submits Ibis 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. 2023080015802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kittiany Davis Barrios (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6941840 Pursuant to FINRA Rule 9216, Respondent Kittiany Davis Barrios 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. 2023079152401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shawn M. Tyler (Respondent) Investment Company and Variable Contracts Products Representative (IR) CRD No. 5042677 Pursuant to FINRA Rule 9216, Respondent Shawn M. Tyler 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. 2022074096804 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Investment Network, Inc. (Respondent) Member Firm CRD No. 127724 Gary L. Arnold (Respondent) General Securities Principal CRD No. 852859 Pursuant to FINRA Rule 9216, Respondents Investment Network, Inc. and Gary L. Arnold submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.