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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056458301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alternative Execution Group (Respondent) Member Firm CRD No. 167830 Richard Alter (Respondent) General Securities Principal CRD No. 2697740 Pursuant to FINRA Rule 9216, Respondents Alternative Execution Group and Richard Alter submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.