FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072581101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: M1 Finance LLC (Respondent) Member Firm CRD No. 281242 Pursuant to FINRA Rule 9216, Respondent M1 Finance LLC 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. 2019062348302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stifel, Nicolaus & Company, Inc. (Respondent) Member Firm CRDNo. 793 Pursuant to FINRA Rule 9216, Respondent Stifel, Nicolaus & Company, Inc. (Stifel) submits this Letter of Acceptance, Waiver, and Consent (A WC) for the purpose of proposing a settlement of the alleged rule violations described below.