FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075150801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jilena Yuen-Han Mok (Respondent) General Securities Representative CRD No. 6115674 Pursuant to FINRA Rule 9216, Respondent Jilena Yuen-Han Mok 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. 2018060369501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Puma Capital LLC (Respondent) Member Firm CRD No. 146744 Pursuant to FINRA Rule 9216, Respondent Puma Capital 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. 2023079976201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert W. Clayton, Jr. (Respondent) General Securities Representative CRD No. 2598586 Pursuant to FINRA Rule 9216, Respondent Robert William Clayton 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. 2021073087601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Roddy Hughes (Respondent) Former General Securities Representative CRD No. 1895797 Pursuant to FINRA Rule 9216, Respondent John Roddy Hughes 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. 2023077891101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fedelyne Cemoin (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6430066 Pursuant to FINRA Rule 9216, Respondent Fedelyne Cemoin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.