FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057892701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: StoneX Financial Inc., formerly known as INTL FCStone Financial Inc. (Respondent) Member Firm CRD No. 45993 Pursuant to FINRA Rule 9216, Respondent StoneX Financial Inc. 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. 2024081398801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jack S. Falzone Jr. (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 7182129 Pursuant to FINRA Rule 9216, Respondent Jack S. Falzone Jr. 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. 2024081647102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Joseph Riccomini (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7427048 Pursuant to FINRA Rule 9216, Respondent Charles Joseph Riccomini 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. 2021073236801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pershing LLC (Respondent) Member Firm CRD No. 7560 Pursuant to FINRA Rule 9216, Respondent Pershing LLC 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. 2020067122301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Tabak (Respondent) General Securities Principal CRD No. 856416 Pursuant to FINRA Rule 9216, Respondent Jeffrey Tabak submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.