FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081404501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent Mallon (Respondent) General Securities Representative CRD No. 5039515 Pursuant to FINRA Rule 9216, Respondent Vincent Mallon 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. 2023079737001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rosanne R. Gil (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5635916 Pursuant to FINRA Rule 9216, Respondent Rosanne Gil 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 OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2022075977501 Department of Enforcement, Complainant, v. Ben Jen (CRD No. 7701847) and Ray Rohne (CRD No. 1942268), Respondents. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondents Ben Jen and Ray Rohne failed to cooperate, or fully cooperate, in FINRA’s investigation into their activities regarding a failed sale of shares in a private space exploration company. Jen failed to produce certain documents and information FINRA requested pursuant to FINRA Rule 8210.