FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2023077854301 Department of Enforcement, Complainant, v. Willnard Love, CRD No. 7422353, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY In January 2023, Willnard Love falsely told his firm, Northwestern Mutual Investment Services, LLC (“Northwestern” or the “firm”), that he had received a passing exam score report on the FINRA Securities Industry Essentials (“SIE”) exam when he had, in fact, failed.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057892701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: StoneX Financial Inc., formerly known as INTL FCStone Financial Inc. (Respondent) Member Firm CRD No. 45993 Pursuant to FINRA Rule 9216, Respondent StoneX Financial Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.