FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066349702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott P. Smith (Respondent) General Securities Representative CRD No. 4522269 Pursuant to FINRA Rule 9216, Respondent Scott P. Smith 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. Adam James Makkai Castle Rock, CO, Respondent. DECISION Complaint No. 2018058924502 Dated: January 6, 2023 Registered representative paid securities transaction-based compensation to an unregistered person. Held, findings affirmed, and sanctions modified. Appearances For the Complainant: John R. Baraniak, Esq., Jennifer L. Crawford, Esq., Michael Manning, Esq., Department of Enforcement,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056154401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.