FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE. WAIVER, AND CONSENT NO. 2023079726101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Kevin Mathesen (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5799049 Pursuant to FINRA Rule 9216, Respondent Joseph Kevin Mathesen 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. 2021073232401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jae Hun Kim (Respondent) Former General Securities Principal; Former General Securities Representative; Former Registered Options Principal CRD No. 4620963 Pursuant to FINRA Rule 9216, Respondent Jae Hun Kim submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.