FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073545201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: HSBC Securities (USA) Inc. (Respondent) Member Firm CRD No. 19585 Pursuant to FINRA Rule 9216, Respondent HSBC Securities (USA) Inc. 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, \VAIVER, AND CONSENT NO. 2023079873001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Todd Michael Lesk (Respondent) General Securities Representative CRD No. 2788300 Pursuant to FINRA Rule 9216, Respondent Todd Michael Lesk submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.