FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079736001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Hartnagel Jr. (Respondent) Former General Securities Representative CRD No. 6689914 Pursuant to FINRA Rule 9216, Respondent Michael Hartnagel Jr. 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. 2022074240001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tilak J. Shah (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6416854 Pursuant to FINRA Rule 9216, Respondent Tilak J. Shah 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. 2023077778401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chaitanya Goyal (Respondent) Former Securities Trader CRD No. 7515082 Pursuant to FINRA Rule 9216, Respondent Chaitanya Goyal 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. 2023079748501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maureen O’Donnell (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1896357 Pursuant to FINRA Rule 9216, Respondent Maureen O’Donnell submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.