FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062945201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital 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 LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073002001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Amy M. O’Brien (Respondent) General Securities Representative CRD No. 5765481 Pursuant to FINRA Rule 9216, Respondent Amy M. O’Brien 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. 2018058464601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Intesa Sanpaolo IMI Securities Corp. (Respondent) Member firm CRD No. 19418 Pursuant to FINRA Rule 9216, Respondent Intesa Sanpaolo IMI Securities Corp. 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Roger Braxton II CRD No. 6271694, Respondent. Disciplinary Proceeding No. 2020066388801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Roger Braxton II (“Respondent” or “Braxton”) failed to provide information and documents FINRA requested pursuant to FINRA Rule 8210. As a result, Respondent violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Respondent entered

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057161001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cabrera Capital Markets, LLC (Respondent) Member Firm CRD No. 10081 Pursuant to FINRA Rule 9216, Respondent Cabrera Capital Markets, LLC 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 on the condition

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064729704 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason Hamby (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 3089278 Pursuant to FINRA Rule 9216, Respondent Jason Hamby 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