FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2023079727501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maryellen Smyth (Respondent) Former Associated Person CRD No. 4527828 Pursuant to FINRA Rule 9216, Respondent Maryellen Smyth 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. MICHAEL R. ROSALIA (CRD No. 2323953), Respondent. Disciplinary Proceeding No. 2019060753508 Hearing Officer–BDC DEFAULT DECISION October 15, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear for on-the-record testimony requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077688001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ryan Emerson Bennett (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6274472 Pursuant to FINRA Rule 9216, Respondent Ryan Emerson Bennett submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.