FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072416801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald S. Daley (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 4682165 Pursuant to FINRA Rule 9216, Respondent Ronald S. Daley 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. 2021069221201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christine J. Troxel (Respondent) Former Associated Person CRD No. 7167887 Pursuant to FINRA Rule 9216, Respondent Christine J. Troxel 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,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014043121001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deutsche Bank Securities Inc., Respondent Member Firm CRD No. 2525 Pursuant to FINRA Rule 9216, Respondent Deutsche Bank Securities Inc. 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT 2019061061001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SogoTrade, Inc. (Respondent) Member Firm CRD No. 17912 Pursuant to FINRA Rule 9216, Respondent SogoTrade, Inc. 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 will not

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066718901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jacob Popek (Respondent) Former General Securities Representative CRD No. 6815448 Pursuant to FINRA Rule 9216, Respondent Jacob Popek 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