FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068414601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Jonathan Spencer (Respondent) Former General Securities Representative CRD No. 431878 Pursuant to FINRA Rule 9216, Respondent Robert Jonathan Spencer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066627201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Manhattan Co. (Respondent) Member Firm CRD No. 1845 Pursuant to FINRA Rule 9216, Respondent First Manhattan Co. 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. 2015047770302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arnold J. Feist (Respondent) Former General Securities Representative, General Securities Principal, General Securities Sales Supervisor, and Compliance Officer CRD No. 1296808 Pursuant to FINRA Rule 9216, Respondent Arnold J. Feist submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.