FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055977301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: H.C. Wainwright & Co., LLC (Respondent) Member Firm CRD No. 375 John Wesley Chambers (Respondent) General Securities Representative, General Securities Principal, Investment Banking Representative, and Investment Banking Principal CRD No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072524501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alan Z. Appelbaum (Respondent) Former General Securities Representative CRD No. 500336 Pursuant to FINRA Rule 9216, Respondent Alan Z. Appelbaum submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.