FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079873002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Edward Steven Mercer (Respondent) General Securities Representative CRD No. 1839328 Pursuant to FINRA Rule 9216, Respondent Edward Steven Mercer 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. 2021070332301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wedbush Securities Inc. (Respondent) Member Firm CRD No. 877 Pursuant to FINRA Rule 9216, Respondent Wedbush Securities Inc. (Wedbush) 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. 2020068747501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Ginsburg (Respondent) General Securities Representative CRD No. 3022789 Pursuant to FINRA Rule 9216, Respondent John Ginsburg 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. 2023077681201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard DiArenzo (Respondent) Former General Securities Representative CRD No. 2752676 Pursuant to FINRA Rule 9216, Respondent Richard DiArenzo 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. 2021071152401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Royal Gregory Fisher (Respondent) Investment Company and Variable Contracts Products Representative (IR) CRD No. 3230753 Pursuant to FINRA Rule 9216, Respondent Royal Gregory Fisher submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.