FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079298201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas Bauerband (Respondent) Former Investment Company and Variable Contracts Products Representative; Former Direct Participation Programs Representative CRD No. 2850269 Pursuant to FINRA Rule 9216, Respondent Douglas Bauerband submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.