FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065435402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael G. DeLuca (Respondent), General Securities Principal CRD No. 4428054 Pursuant to FINRA Rule 9216, Respondent Michael G. DeLuca 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. 2022076360101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fernando Silva (Respondent) Former General Securities Representative CRD No. 7326519 Pursuant to FINRA Rule 9216, Respondent Fernando Silva 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. 2021070408202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Old Slip Capital Management, Inc. (Respondent) Member Firm CRD No. 7360 Pursuant to FINRA Rule 9216, Respondent Old Slip Capital Management, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.