FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069470101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chad M. Koehn (Respondent) Former Investment Company and Variable Contracts Product Representative (IR) Former General Securities Representative (GS) CRD No. 2216169 Pursuant to FINRA Rule 9216, Respondent Chad M. Koehn 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. Keith Todd Ashley CRD No. 4096004, Respondent. Disciplinary Proceeding No.2020068470002 Hearing Officer-MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 21, 2022 INTRODUCTION Disciplinary Proceeding No. 2020068470002 was filed on December 10, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Keith Todd Ashley submitted an Offer of Settlement (Offer) to Complainant dated October 13, 2022.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061952601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen James Sullivan (Respondent) General Securities Representative CRD No. 3123249 Pursuant to FINRA Rule 9216, Respondent Stephen James Sullivan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.