FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074961801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Johnathan Jasper Norton (Respondent) Investment Company and Variable Contracts Products Representative; Investment Company Products/Variable Contracts Principal CRD No. 4662779 Pursuant to FINRA Rule 9216, Respondent Johnathan Jasper Norton (Norton) 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. 2019061076001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays 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.