FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041808601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital Inc. 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. 2021072713001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stacee Lei Bradley (Respondent) Former General Securities Representative CRD No. 7320122 Pursuant to FINRA Rule 9216, Respondent Stacee Lei Bradley submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.