FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073891501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Kiyoshi Takeda (Respondent) Former General Securities Representative CRD No. 1100052 Pursuant to FINRA Rule 9216, Respondent Stephen Kiyoshi Takeda 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. 2022077314501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James P. Pelletiere (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2628708 Pursuant to FINRA Rule 9216, Respondent James P. Pelletiere (Pelletiere) 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. 2023078907901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vivek Tangudu (Respondent) Former Associated Person CRD No. 7429841 Pursuant to FINRA Rule 9216, Respondent Vivek Tangudu 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. 2020068391501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ravid Gold (Respondent) Former General Securities Principal CRD No. 6314469 Pursuant to FINRA Rule 9216, Respondent Ravid Gold submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.