FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074931701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Adam C. Ellison (Respondent) Former General Securities Representative CRD No. 6073346 Pursuant to FINRA Rule 9216, Respondent Adam C. Ellison 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. 2020067277901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Max Cohen (Respondent) Former General Securities Representative; Former Corporate Securities Representative CRD No. 2528929 Pursuant to FINRA Rule 9216, Respondent Jeffrey Max Cohen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, Vs. Ricky Alan Mantei Anaheim, California, Respondent. Decision Complaint No. 2015045257501 Dated: May 30, 2023 Respondent violated his firm’s prearranged trading prohibition and circumvented its cross trade procedures by directing prearranged trading with counterparties. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Megan Davis, Esq., Jennifer Crawford, Esq.,