FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063430401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Evan A Schottenstein (Respondent) Former General Securities Representative CRD No. 4929175 Pursuant to FINRA Rule 9216, Respondent Evan A Schottenstein 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. 2019062274901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Coburn (Respondent) Former Investment Banking Representative CRD No. 6379877 Alexander Blau (Respondent) Investment Banking Representative CRD No. 6682623 Pursuant to FINRA Rule 9216, Respondents Brian Coburn and Alexander Blau submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement