FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072680701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Buckman, Buckman & Reid, Inc. (Respondent) Member Firm CRD No. 23407 Pursuant to FINRA Rule 9216, Respondent Buckman, Buckman & Reid, Inc. 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. 2023080255801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul R. Fehrenbach Jr. (Respondent) Former General Securities Representative CRD No. 2390131 Pursuant to FINRA Rule 9216, Respondent Paul R. Fehrenbach Jr. 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. 2021072830601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ariel Rivero (Respondent) General Securities Representative CRD No. 4236679 Pursuant to FINRA Rule 9216, Respondent Ariel Rivero submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.