FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056455201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Logan Group Securities (Respondent) Member Firm CRD No. 40259 Pursuant to FINRA Rule 9216, Respondent the Logan Group Securities 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. 2019064706501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carlos Sosa CRD No. 7153226 Pursuant to FINRA Rule 9216, Respondent Carlos Sosa 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. Kishan Parikh (CRD No. 5506554), Respondent. DISCIPLINARY PROCEEDING No. 2021070337401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Kishan Parikh, while associated with FINRA member Aegis Capital Corp. ("Aegis" or the "Firm"), made unsuitable recommendations and excessively traded the