FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069362101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RCM Securities (Respondent) Member Firm CRD No. 15548 Pursuant to FINRA Rule 9216, Respondent RCM Securities 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. 2022076782101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin R. Barry (Respondent) Former General Securities Representative CRD No. 6671667 Pursuant to FINRA Rule 9216, Respondent Kevin R. Barry submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.