FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067277801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dennis Phillip Ayre (Respondent) Former General Securities Representative CRD No. 5365176 Pursuant to FINRA Rule 9216, Respondent Dennis Phillip Ayre 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. Tarek Mohsen Mohamed (CRD No. 6717691), Respondent. Disciplinary Proceeding No. 2020067814802 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 27, 2022 INTRODUCTION Disciplinary Proceeding No. 2020067814802 was filed on December 29, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Tarek Mohsen Mohamed submitted an