FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069382401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aurel Davina Anderson (Respondent) Former General Securities Principal Former General Securities Representative CRD No. 6573760 Pursuant to FINRA Rule 9216, Respondent Aurel Davina Anderson 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. 2022076599501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathaniel Adams (Respondent) Former General Securities Representative CRD No. 5703267 Pursuant to FINRA Rule 9216, Respondent Nathaniel Adams 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. 2022074492501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roxanne F. Campbell (Respondent) Investment Banking Principal and Investment Banking Representative CRD No. 4424325 Pursuant to FINRA Rule 9216, Respondent Roxanne F. Campbell 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. 2022075863301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kepler Capital Markets, Inc. (Respondent) Member Firm CRD No. 139148 Pursuant to FINRA Rule 9216, Respondent Kepler Capital Markets, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.