FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076731901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kalomira K. Zangoulos (Respondent) Former General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 4451124 Pursuant to FINRA Rule 9216, Respondent Kalomira K. Zangoulos 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. JOHN PELLETIER (CRD No. 4205289), Respondent. Disciplinary Proceeding No. 2021071094401 Hearing Officer–MC EXTENDED HEARING PANEL DECISION June 25, 2024 Respondent John Pelletier is suspended from associating with any FINRA member firm in any capacity for three months and fined $10,000 for effecting 16 unauthorized transactions in a customer’s retirement account in violation of FINRA Rule 2010. Appearances For the Complainant: Robert Kennedy, Esq., Nicholas Pilgrim, Esq., and John R.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AUSTIN R. DUTTON, JR. (CRD No. 2739167), Respondent. Disciplinary Proceeding No. 2018059178401 Hearing Officer–RES DEFAULT DECISION May 29, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for making unsuitable recommendations of alternative investments; falsifying books and records of a FINRA member firm; and failing to respond, or failing to respond in a timely manner, to FINRA Rule 8210 requests for information and documents.