FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061442702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wells Fargo Clearing Services, LLC (Respondent) Member Firm CRD No. 19616 Pursuant to FINRA Rule 9216, Respondent Wells Fargo Clearing Services, LLC (WFCS) 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. 2023078273201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John A. Perez-Cubero (Respondent) Former General Securities Representative CRD No. 6674954 Pursuant to FINRA Rule 9216, Respondent John A. Perez-Cubero submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.