BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Dakota Securities International, Inc. and Bruce Martin Zipper Miami, FL, Respondents. Decision Complaint No. 2016047565702 Dated: March 16, 2022 On remand from the Securities and Exchange Commission for redetermination of sanctions. Held, sanctions modified. Appearances For the Complainant: Megan P. Davis, Esq., Department of Enforcement, Financial Industry Regulatory Authority

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067520001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Donovan Thomas Kelly (Respondent) General Securities Representative CRD No. 2622366 Pursuant to FINRA Rule 9216, Respondent Donovan Thomas Kelly 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. 2021070745701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Garrett Caplin (Respondent) Former General Securities Representative CRD No. 5968832 Pursuant to FINRA Rule 9216, Respondent Garrett Caplin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.