FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077778401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chaitanya Goyal (Respondent) Former Securities Trader CRD No. 7515082 Pursuant to FINRA Rule 9216, Respondent Chaitanya Goyal 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. 2023079748501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maureen O’Donnell (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1896357 Pursuant to FINRA Rule 9216, Respondent Maureen O’Donnell 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. 2023079725901 TO: Department of Enforcement Financial Industry Regulatory Authority (F[NRA) RE: Joseph Duffy Collins (Respondent) General Securities Representative CRD No. 7153386 Pursuant to FINRA Rule 9216, Respondent Joseph Duffy Collins 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 condition that, if accepted.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079728201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael L. Esposito (Respondent) General Securities Representative CRD No. 6506773 Pursuant to FINRA Rule 9216, Respondent Michael L. Esposito submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.