FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Beliveau Bays CRD No. 6034987, Respondent. Disciplinary Proceeding No. 2021070734301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In July 2019, Respondent Beliveau Bays, while associated with LPL Financial LLC (LPL), forged the electronic signatures of four customers on six account applications and one account transfer form. The customers did not give Bays permission to sign their names nor did they have any knowledge that Bays had done so.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060753506 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip M. Connors (Respondent) Former General Securities Representative CRD No. 5274094 Pursuant to FINRA Rule 9216, Respondent Philip M. Connors 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. Stewart Ginn CRD No. 4503197, Respondent Disciplinary Proceeding No. 2021072167901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Stewart Ginn, while registered through Independent Financial Group, LLC (“IFG”), churned and excessively traded five customers’ accounts between July 2020 and December 2022 (the “relevant period”). 2. None of the five customers was an aggressive investor. Moreover, three of the customers were retired seniors.