FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069218401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael E. Witt (Respondent) General Securities Representative CRD No. 4206075 Pursuant to FINRA Rule 9216, Respondent Michael E. Witt 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. 2019064955001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Yan Binder (Respondent) General Securities Representative CRD No. 2932226 Pursuant to FINRA Rule 9216, Respondent Yan Binder 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. Daniel Pita, CRD No. 6759879 Disciplinary Proceeding No. 2021071965401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel Pita (“Pita” or “Respondent”) failed to provide information and documents FINRA requested pursuant to FINRA Rule 8210 in connection with an investigation of Pita’s outside business activities. As a result, Pita violated FINRA Rules 8210 and 2010.