FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20210693220011 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Electronic Transaction Clearing, Inc. (Respondent) Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216, Respondent Electronic Transaction Clearing, Inc. (ETC) 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. Peter J. Fetherston (CRD No. 2108610), Respondent. Disciplinary Proceeding No. 2020065396501 Hearing Officer–DRS EXTENDED HEARING PANEL DECISION September 26, 2023 For partially failing to respond to a FINRA request for information, Peter J. Fetherston is suspended for four months in all capacities from associating with any FINRA member firm.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jose L. Centeno CRD No. 6368188, Respondent Disciplinary Proceeding No. 2020066079903 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2019 and September 2021, while associated with Canaccord Genuity LLC, Jose Centeno falsified firm records to show that he had reviewed 384 exception reports assigned to him in his capacity as a compliance officer when, in fact, he had not reviewed these exception reports.