FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060219201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jefferies LLC (Respondent) Member Firm CRD No. 2347 Pursuant to FINRA Rule 9216, Respondent Jefferies 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, if accepted, FINRA

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. JOSEPH JOHN WEINRICH (CRD No. 461987), Respondent. Disciplinary Proceeding No. 2018058611601 Hearing Officer–RES DEFAULT DECISION January 4, 2022 Respondent is fined $5,000 and suspended for 30 business days from associating with any FINRA member in any capacity for willfully failing to timely amend his Form U4 to disclose a Chapter 7 bankruptcy petition and making false and inaccurate statements to his