FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074075101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Francis Giammona (Respondent) Former General Securities Representative CRD No. 6386081 Pursuant to FINRA Rule 9216, Respondent Brian Francis Giammona 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. 2023079976101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Zappia (Respondent) General Securities Representative CRD No. 1360824 Pursuant to FINRA Rule 9216, Respondent Kevin Zappia 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. 2022076303801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christian Thomas Holmes (Respondent) Former General Securities Representative CRD No. 6810142 Pursuant to FINRA Rule 9216, Respondent Christian Thomas Holmes submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.