FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064947501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jennifer L. Basey, Respondent General Securities Representative CRD No. 4730054 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Jennifer L. Basey, submit 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. 2015047927501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Manhattan Co., Respondent Member Firm CRD No. 1845 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent First Manhattan Co. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the