FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079098201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elan Sanker (Respondent) Former General Securities Representative CRD No. 5580543 Pursuant to FINRA Rule 9216, Respondent Elan Sanker 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. 2022077410701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeremy D. Baldwin (Respondent) Former General Securities Representative CRD No. 5743175 Pursuant to FINRA Rule 9216, Respondent Jeremy D. Baldwin 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. 2021069303201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Signet Securities, LLC (Respondent) Member Firm CRD No. 154198 Pursuant to FINRA Rule 9216, Respondent Signet Securities, LLC 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. 2022076895001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Dean Connally (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2570561 Pursuant to FINRA Rule 9216, Respondent Richard Dean Connally 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. 2023079817501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Allen Gibbs (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2917334 Pursuant to FINRA Rule 9216, Respondent David Allen Gibbs submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.