FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078814601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kabir H. Ali (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7216446 Pursuant to FINRA Rule 9216, Respondent Kabir Ali 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. 2021069347101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David A. Elgart (Respondent) Former Municipal Securities Representative and Principal CRD No. 825759 Pursuant to FINRA Rule 9216, Respondent David A. Elgart submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.