FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074096803 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert E. Marquez (Respondent) General Securities Representative CRD No. 2266269 Pursuant to FINRA Rule 9216, Respondent Robert E. Marquez 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. 2020068655201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert W. Baird & Co., Inc. (Respondent) Member Firm CRD No. 8158 Pursuant to FINRA Rule 9216, Respondent Robert W. Baird & Co., 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, WAIVER, AND CONSENT NO. 2021072622201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bolton Global Capital (Respondent) Member Firm CRD No. 15650 Pursuant to FINRA Rule 9216, Respondent Bolton Global Capital 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. 2023078894201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph S. Hanson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5109237 Pursuant to FINRA Rule 9216, Respondent Joseph S. Hanson 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. 2022076673601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian K. Shey (Respondent) Former General Securities Representative CRD No. 4610561 Pursuant to FINRA Rule 9216, Respondent Brian K. Shey 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. 2021069307801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sun’s Brothers Securities Inc. (Respondent) Member Firm CRD No. 123531 Pursuant to FINRA Rule 9216, Respondent Sun’s Brothers Securities Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.