FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Mark Bedros Beloyan, CRD No. 1392748, Respondent. Disciplinary Proceeding No. 2019060700302 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2019060700302 was filed on September 13, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Mark Bedros Beloyan submitted an Offer of Settlement (Offer) to Complainant dated October 17, 2023.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074075101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Francis Giammona (Respondent) Former General Securities Representative CRD No. 6386081 Pursuant to FINRA Rule 9216, Respondent Brian Francis Giammona 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. 2023079976101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Zappia (Respondent) General Securities Representative CRD No. 1360824 Pursuant to FINRA Rule 9216, Respondent Kevin Zappia submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.