FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077257801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Malay Kumar (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2482909 Pursuant to FINRA Rule 9216, Respondent Malay Kumar 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. 2019063152203 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BofA Securities, Inc. (Respondent) Member Firm CRD No. 283942 Pursuant to FINRA Rule 9216, Respondent BofA Securities, Inc. (BofAS) 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. 2022076212301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Patterson Corey (Respondent) Fonner General Securities Representative CRD No. 1032543 Pursuant to FINRA Rule 9216, Respondent John P. Corey 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. 2023078843001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen LaGreca (Respondent) Former Non-Registered Associated Person CRD No. 7569671 Pursuant to FINRA Rule 9216, Respondent Stephen LaGreca 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. 2019064746402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Allied Millennial Partners, LLC (Respondent) Member Firm CRD No. 16569 Pursuant to FINRA Rule 9216, Respondent Allied Millennial Partners, LLC 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. 2023078268801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kerry L. Broderick (Respondent) General Securities Representative CRD No. 7344563 Pursuant to FINRA Rule 9216, Respondent Kerry L. Broderick submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.