FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058015701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Ernest Kenahan (Respondent) Former General Securities Representative CRD No. 1351974 Pursuant to FINRA Rule 9216, Respondent Charles Ernest Kenahan 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. 2018059113701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC (Goldman or the Firm) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.