FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059564801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond James & Associates, Inc. (Respondent) Member Firm CRD No. 705 Raymond James Financial Services, Inc. (Respondent) Member Firm CRD No. 6694 Pursuant to FINRA Rule 9216, Respondents Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DISCIPLINARY PROCEEDING DEPARTMENT OF ENFORCEMENT, Complainant, v. STEWART GINN (CRD No. 4503197), Respondent NO. 2021072167901 HEARING OFFICER–MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 29, 2024 INTRODUCTION Disciplinary Proceeding No. 2021072167901 was filed on October 17, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA” or “Complainant”). Respondent Stewart Ginn submitted an Offer of Settlement (“Offer”) to Complainant dated August 16, 2024.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076585601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Place Trade Financial, Inc. (Respondent) Member Firm BD No. 126867 Pursuant to FINRA Rule 9216, Respondent Place Trade Financial, 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARK SAM KOLTA (CRD No. 5324620), Respondent. Disciplinary Proceeding No. 2018057297102 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION Date: August 15, 2024 Respondent Mark Sam Kolta made unsuitable recommendations to 16 customers to invest $4.8 million in a real estate investment trust, or REIT.