FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080530501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matt Ward (Respondent) General Securities Representative CRD No. 2075525 Pursuant to FINRA Rule 9216, Respondent Matt Ward 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. 2022074489202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sarvendra Harkishun (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5703273 Pursuant to FINRA Rule 9216, Respondent Sarvendra Harkishun submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.