FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054054501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital Inc. 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. 2020065349501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean M. Johnson, (Respondent) Former Associated Person CRD No. 7165567 Pursuant to FINRA Rule 9216, Respondent Sean M. Johnson 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. Gregory Walter McCloskey, CRD No. 2820510, Respondent. Disciplinary Proceeding No. 2018059242801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between 2008 and 2018, Respondent Gregory Walter McCloskey, while associated with FINRA member firms, participated in two undisclosed private securities