FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060753504 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Franz H. Lambert (Respondent) Former General Securities Representative CRD No. 4463792 Pursuant to FINRA Rule 9216, Respondent Franz H. Lambert 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. 2022073741702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harris Kausar (Respondent) Former Associated Person CRD No. 7262411 Pursuant to FINRA Rule 9216, Respondent 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. 2022073741701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brandon Autiero (Respondent) Former General Securities Representative CRD No. 7331393 Pursuant to FINRA Rule 9216, Respondent Brandon Autiero 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN G. WHITMAN (CRD No. 2230369), Respondent. Disciplinary Proceeding No. 2021071227301 Hearing Officer-MJD DEFAULT DECISION July 12, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents during a FINRA investigation, in violation of FINRA Rules 8210 and 2010.