FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065297002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lilia Nia (Respondent) Former General Securities Representative CRD No. 6018019 Pursuant to FINRA Rule 9216, Respondent Lilia Nia 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. 2020065297001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Henry Weisbrod (Respondent) Former General Securities Representative CRD No. 812664 Pursuant to FINRA Rule 9216, Respondent William Henry Weisbrod 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. 2022076450301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ashley Fenderson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7013767 Pursuant to FINRA Rule 9216, Respondent Ashley Fenderson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.