FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059109401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BofA Securities, Inc. (Respondent) Member Firm CRD No. 283942 Pursuant to FINRA Rule 9216, Respondent BofA 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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lek Securities Corp. CRD No. 33135, and Charles Frederik Lek CRD No. 4672129, Respondents. Disciplinary Proceeding No. 2021071137001 Hearing Officer: COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. Lek Securities Corporation (“LSC” or “the Firm”), acting through its Chief Executive Officer, Charles Frederik Lek (“Lek”), violated the terms of a December 2019 Order Accepting Offer of Settlement with FINRA (the “Order”).1 2.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062623001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: MM Global Securities, Inc. (Respondent) Member Firm CRD No. 2509 Pursuant to FINRA Rule 9216, Respondent MM Global Securities, Inc. (MM Global) 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mark Bedros Beloyan, CRD No. 1392748, Respondent. Disciplinary Proceeding No. 2019060700302 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2017 and May 2019 (the Relevant Period), Respondent Mark Beloyan, the President, Chief Executive Officer (CEO), Chief Compliance Officer (CCO), and Anti-Money Laundering Compliance Officer (AMLCO) of former FINRA member Tradespot Markets, Inc.