FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079716301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Edward Kotak, Jr. (Respondent) General Securities Representative CRD No. 6122803 Pursuant to FINRA Rule 9216, Respondent Edward Kotak, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.