FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063686202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey D. Basford (Respondent) General Securities Representative CRD No. 5077566 Pursuant to FINRA Rule 9216, Respondent Jeffrey D. Basford (Basford) 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. 2022075677601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Allen English (Respondent) Former General Securities Representative CRD No. 5189025 Pursuant to FINRA Rule 9216, Respondent Patrick Allen English 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. 2022074637901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bradley Stephen Kavanagh (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5784000 Pursuant to FINRA Rule 9216, Respondent Bradley Stephen Kavanagh submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.