FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079739801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Frank Deo (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 3145183 Pursuant to FINRA Rule 9216, Respondent Christopher Frank Deo 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. 2021071100401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brex Treasury LLC (Respondent) Member Firm CRD No. 299606 Pursuant to FINRA Rule 9216, Respondent Brex Treasury 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. 2022075799001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Nathan Slater (Respondent) General Securities Representative CRD No. 2061869 Pursuant to FINRA Rule 9216, Respondent David Nathan Slater submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.