FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074939301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ian James Prukner (Respondent) Former Investment Company and Variable Contracts Products Representative and Former Investment Company Products/Variable Contracts Principal CRD No. 5288581 Pursuant to FINRA Rule 9216, Respondent Ian James Prukner 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. 2022074939303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Melton Weaver III (Respondent) Former Investment Company and Variable Contracts Products Representative and Former Investment Company Products/Variable Contracts Principal CRD No. 5422319 Pursuant to FINRA Rule 9216, Respondent Melton Weaver III 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. 2022075705601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jacob Pae (Respondent) Former General Securities Representative CRD No. 7059044 Pursuant to FINRA Rule 9216, Respondent Jacob Pae 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. 2021071022201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cowen and Company (Respondent) Member Firm (CRD No. 7616), in its own right and as successor-in-interest to Cowen Prime Services LLC (CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069200301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Maclean (Respondent) General Securities Representative CRD No. 5457640 Pursuant to FINRA Rule 9216, Respondent Michael MacLean 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. 2019064801101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TD Private Client Wealth LLC (Respondent) Member Firm CRD No. 164484 Pursuant to FINRA Rule 9216, Respondent TD Private Client Wealth LLC (TDPCW or the firm) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.