FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072708801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dennis David Karjala (Respondent) Former General Securities Representative CRD No. 5918770 Pursuant to FINRA Rule 9216, Respondent Dennis David Karjala 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. 2019063673101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BNP Paribas Securities Corp. (Respondent) Member Firm CRD No. 15794 Pursuant to FINRA Rule 9216, Respondent BNP Paribas Securities Corp. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.