FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054588101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jefferies LLC (Respondent), as successor to Jefferies Execution Services, Inc. Member Firm CRD No. 2347 Pursuant to FINRA Rule 9216, Respondent Jefferies LLC, as successor to Jefferies Execution Services, Inc., submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069166501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Rene Peña (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6523538 Pursuant to FINRA Rule 9216, Respondent Michael Rene Peña 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. 2014039952901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: E*TRADE Securities LLC (Respondent) Member Firm CRD No. 29106 Pursuant to FINRA Rule 9216, Respondent E*TRADE Securities 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 that,