FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065477101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Peter Vincent Ianace, Respondent General Securities Representative CRD No. 3238078 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Peter Vincent Ianace 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. 2019062369701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christina Jane Shepard, Respondent General Securities Representative CRD No. 3025892 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Christina Jane Shepard 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. 2019062369702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kimberley Schkade-Hill, Respondent Investment Company and Variable Representative CRD No. 4550820 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kimberley Schkade-Hill 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. 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)