FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078996901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David R. Stuart (Respondent) Former General Securities Representative CRD No. 857819 Pursuant to FINRA Rule 9216, Respondent Davis R. Stuart (Stuart) 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. 2021073535701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hector Jesus Hernandez (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4654126 Pursuant to FINRA Rule 9216, Respondent Hector Jesus Hernandez 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Booth Kennedy CRD No. 4498061, Respondent Disciplinary Proceeding No. 2021072389001 Hearing Officer-MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 17, 2023 INTRODUCTION Disciplinary Proceeding No. 2021072389001 was filed on September 22, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Christopher Booth Kennedy submitted an Offer of Settlement (Offer) to Complainant dated November 14, 2023.