FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060896301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Purshe Kaplan Sterling Investments, Inc. (Respondent) Member Finn CRD No. 35747 Pursuant to FINRA Rule 9216, Respondent Purshe Kaplan Sterling Investments, Inc. (PKS) 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. 2022075617701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cladius O. Tokunboh (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6058294 Pursuant to FINRA Rule 9216, Respondent Cladius O. Tokunboh submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.