FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057956001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SageTrader, LLC (Respondent) Member Firm CRD No. 137862 Pursuant to FINRA Rule 9216, Respondent SageTrader, LLC 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. 2021073069401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Hobbs (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4267482 Pursuant to FINRA Rule 9216, Respondent Kevin Hobbs 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. 2021070649601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Casey (Respondent) Former General Securities Representative CRD No. 2294037 Pursuant to FINRA Rule 9216, Respondent Kevin Casey 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. 2019064776201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gary Mark Goldberg (Respondent) Former General Securities Representative CRD No. 223919 Pursuant to FINRA Rule 9216, Respondent Gary Mark Goldberg 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. 2020068071402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Transamerica Capital, Inc. (Respondent) Member Firm CRD No. 8217 Pursuant to FINRA Rule 9216, Respondent Transamerica Capital, 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. 2021070581401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Webull Financial LLC (Respondent) Member Firm CRD No. 289063 Pursuant to FINRA Rule 9216, Respondent Webull Financial LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.