FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078030001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Donald Ayers Jr. (Respondent) Former General Securities Principal and former General Securities Representative CRD No. 1529464 Pursuant to FINRA Rule 9216, Respondent Donald Ayers 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. James Lukezic CRD No. 4284800, Respondent. Disciplinary Proceeding No. 2022073425001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On February 7, 2022, while associated with Old Slip Capital Management, Inc. (CRD No. 7360), Respondent James Lukezic placed six mutual fund exchanges with a total principal value of approximately $1.1 million in the accounts of five customers without the customers’ authorization.