FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059121201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: E1 Asset Management, Inc. (Respondent) Member Firm CRD No. 46872 Ron Y. Itin (Respondent) General Securities Principal CRD No. 2344151 Pursuant to FINRA Rule 9216, Respondents E1 Asset Management, Inc. and Ron Y. Itin submit 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. 2021072096101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Shane Sevcik (Respondent) General Securities Representative CRD No. 5597558 Pursuant to FINRA Rule 9216, Respondent Robert Shane Sevcik 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. 2019060645002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mitchell Scott Biernick (Respondent) Former General Securities Representative, General Securities Principal, and Registered Options Principal CRD No. 2690172 Pursuant to FINRA Rule 9216, Respondent Mitchell Scott Biernick submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Nancy Kimball Mellon, Tampa, FL, Respondent. DECISION Complaint No. 2017052760001 Dated: October 18, 2022 Respondent converted funds from her firm, filed false expense reports that caused her firm to maintain inaccurate books and records, failed to respond truthfully to FINRA’s requests for information and documents. Held, findings and sanctions affirmed.