FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, W AIYER, AND CONSENT NO.2022076173202 TO: Department of Enforcement Financial Industry Regulatory Authority (F INRA) RE: Rocio Tapia (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5523 793 Pursuant to FINRA Rule 9216. Respondent Rocio Tapia 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. 2024082383001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tracy M. Longstreet (Respondent) General Securities Representative CRD No. 1768525 Pursuant to FINRA Rule 9216, Respondent Tracy M. Longstreet 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. 2021069353202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Securities Research, Inc. of Florida (Respondent) Member Firm CRD No. 6516 Pursuant to FINRA Rule 9216, Respondent Securities Research, Inc. of Florida 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. 2023080627902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Mireles (Respondent) General Securities Principal CRD No. 5288651 Pursuant to FINRA Rule 9216, Respondent Richard Mireles submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.