FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068811301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Todd Michael Seymour (Respondent) Former General Securities Representative CRD No. 3249733 Pursuant to FINRA Rule 9216, Respondent Todd Michael Seymour 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. 2022076173201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brandon Self (Respondent) Former General Securities Representative (GS) CRD No. 7067577 Pursuant to FINRA Rule 9216, Respondent Brandon Self 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. 2021071179201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Justin Allen Anderson (Respondent) Former General Securities Representative CRD No. 6389728 Pursuant to FINRA Rule 9216, Respondent Justin Allen Anderson 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. 2016051634802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC (Respondent) Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley Smith Barney LLC (Morgan Stanley or the firm) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.