FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071455501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carl Cirelli (Respondent) General Securities Representative CRD No. 6738582 Pursuant to FINRA Rule 9216, Respondent Carl Cirelli 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. 2020068622401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Felipe Henao Vargas (Respondent) Former General Securities Representative CRD No. 5140431 Pursuant to FINRA Rule 9216, Respondent Felipe Henao Vargas 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. Daniel Keith Beech CRD No. 6169844, Respondent. Disciplinary Proceeding No. 2022076391701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between May 2016 and at least January 2023 (the “Relevant Period”), Daniel Keith Beech improperly paid commissions of approximately $900,000, directly and indirectly, to an unregistered person (“Individual A”), who was required to be registered at the time of the payments. Accordingly, Beech violated FINRA Rules 2040 and 2010.