FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065100701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dawson James Securities, Inc. (Respondent) Member Firm CRD No. 130645 Robert Dawson Keyser Jr. (Respondent) General Securities Representative and General Securities Principal CRD No. 1291503 Pursuant to FINRA Rule 9216, Respondents Dawson James Securities, Inc. and Robert Dawson Keyser Jr.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069335701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Spaulding Gleason Jr. (Respondent) Former General Securities Representative CRD No. 1415067 Pursuant to FINRA Rule 9216, Respondent Robert Spaulding Gleason Jr. 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. 2023079717201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sanford Cohen (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 1509386 Pursuant to FINRA Rule 9216, Respondent Sanford Cohen 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. BELIVEAU BAYS (CRD No. 6034987), Respondent. Disciplinary Proceeding No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LEK SECURITIES CORP. (CRD No. 33135), and CHARLES FREDERIK LEK (CRD No. 4672129) Respondents. Disciplinary Proceeding No.