FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055691901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deutsche Bank Securities Inc. (Respondent) Member Firm CRD No. 2525 Pursuant to FINRA Rule 9216, Respondent Deutsche Bank Securities Inc. (DBSI) 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059389401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SG Americas Securities, LLC (Respondent) Member Firm CRD No. 128351 Pursuant to FINRA Rule 9216, Respondent SG Americas Securities, LLC (SGAS) 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056432601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Worden Capital Management LLC (Respondent) Member Firm CRD No. 148366 Jamie J. Worden (Respondent) General Securities Principal CRD No. 4637404 Pursuant to FINRA Rule 9216, Respondents Worden Capital Management LLC (WCM) and Jamie J. Worden (Worden) submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062530701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC (Respondent) Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley Smith Barney LLC (Morgan Stanley) 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062526201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: B. Riley Wealth Management (Respondent) Member Firm CRD No. 2543 Pursuant to FINRA Rule 9216, Respondent B. Riley Wealth Management (BRWM) 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