FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067770401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wolfe Research Securities (Respondent) Member Firm CRD No. 151850 Pursuant to FINRA Rule 9216, Respondent Wolfe Research Securities 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALPINE SECURITIES CORPORATION (CRD No. 14952), Respondent. Disciplinary Proceeding No. 2019061232601 Hearing Officer-CC EXTENDED HEARING PANEL DECISION March 22, 2022 Member firm Alpine Securities Corporation converted and misused customer funds and securities, engaged in unauthorized trading, charged and paid customers unfair prices in securities transactions, charged customers unreasonable and discriminatory

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064898601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arkady Ginsburg (Respondent) General Securities Representative CRD No. 5256747 Pursuant to FINRA Rule 9216, Respondent Arkady Ginsburg 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. 2022073798801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Robert McDonnell (Respondent) Former General Securities Representative CRD No. 1757401 Pursuant to FINRA Rule 9216, Respondent David McDonnell 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071546601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Joseph Giannetti (Respondent) Former General Securities Representative CRD No. 5086716 Pursuant to FINRA Rule 9216, Respondent Michael Giannetti 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063203501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Natixis Securities Americas LLC (Respondent) Member Firm CRD No. 1101 Pursuant to FINRA Rule 9216, Respondent Natixis Securities Americas LLC (NSA) 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