FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048614401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: State Street Global Markets, LLC, Respondent Member Firm CRD No. 2858521 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent State Street Global Markets, LLC (CRD No. 285852) 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. 2018057286802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stifel, Nicolaus & Company, Inc., Respondent Member Firm CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Stifel, Nicolaus & Company, Inc. (Stifel) 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. 2016052124001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wells Fargo Clearing Services, LLC (CRD No. 19616) and Wells Fargo Advisors Financial Network, LLC (CRD No. 11025) Member Firms Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC submit this Letter of Acceptance, Waiver and Consent (AWC)

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ronald G. Richer CRD No. 2988381, Respondent. Disciplinary Proceeding No. 2019062014501 Hearing Officer-MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 1, 2020 INTRODUCTION Disciplinary Proceeding No. 2019062014501 was filed on July 30, 2020, by the