FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2019064508802 Department of Enforcement, Complainant, v. Eugene H. Kim CRD No. 2264940, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2017 and June 2019 (the “relevant period”), while associated with National Securities Corporation (NSC) (CRD No. 7569), Eugene Kim engaged in unethical conduct, acted in bad faith, and misused customer funds in connection with a private offering sold by NSC.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066667001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Member Firm CRD No. 7691 Pursuant to FINRA Rule 9216, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated 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. 2021071191801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.