FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077273801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald B. Smith (Respondent) Former General Securities Representative CRD No. 2483733 Pursuant to FINRA Rule 9216, Respondent Ronald B. Smith 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. 2023078076201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jean A. St. Pierre (Respondent) Former General Securities Representative CRD No. 2073702 Pursuant to FINRA Rule 9216, Respondent Jean A. St. Pierre 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. 2022074407901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alan Paul Donenfeld (Respondent) Former General Securities Representative CRD No. 1206842 Pursuant to FINRA Rule 9216, Respondent Alan Paul Donenfeld submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.