FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071925001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas J. Tedeschi (Respondent) Former General Securities Representative CRD No. 2379704 Pursuant to FINRA Rule 9216, Respondent Thomas J. Tedeschi 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. 2023077787801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher John Carpenter (Respondent) Former General Securities Representative CRD No. 6601132 Pursuant to FINRA Rule 9216, Respondent Christopher John Carpenter 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. 2022076079801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan Sproul (Respondent) Former General Securities Representative CRD No. 6087064 Pursuant to FINRA Rule 9216, Respondent Bryan Sproul submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.