FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015044336601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BGC Financial, L.P. (Respondent) Member Firm CRD No. 19801 Pursuant to FINRA Rule 9216, Respondent BGC Financial, L.P. 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. 2023079974701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Leininger (Respondent) General Securities Representative CRD No. 809473 Pursuant to FINRA Rule 9216, Respondent Richard Leininger submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.