FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061038301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citadel Securities LLC (Respondent) Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216, Respondent Citadel Securities 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. 2017054432701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Fladell (Respondent) Former General Securities Principal Former General Securities Representative CRD No. 209278 Pursuant to FINRA Rule 9216, Respondent Jeffrey Fladell 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. VICTOR A. RIGONI, III CRD No. 4272056, Respondent. Disciplinary Proceeding No. 2018060840101 Hearing Officer—DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 24, 2021 INTRODUCTION Disciplinary Proceeding No. 2018060840101 was filed on August 3, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Victor A. Rigoni, III submitted an Offer