FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020067843801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maxim Group LLC (Respondent) Member Firm CRD No. 120708 Pursuant to FINRA Rule 9216, Respondent Maxim Group LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Megurditch Patatian Granada Hills, CA, Respondent. DECISION Complaint No. 2018057235801 Dated: September 28, 2023 Registered representative recommended unsuitable purchases of non-traded real estate investment trusts and unsuitable surrenders and exchanges of variable annuities, caused his firm to maintain inaccurate books and records, and impersonated a customer in a communication with an insurance company.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074093701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cody Robert Roos (Respondent) Former General Securities Representative CRD No. 6694181 Pursuant to FINRA Rule 9216, Respondent Cody Robert Roos submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.