FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059109401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BofA Securities, Inc. (Respondent) Member Firm CRD No. 283942 Pursuant to FINRA Rule 9216, Respondent BofA Securities, 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lek Securities Corp. CRD No. 33135, and Charles Frederik Lek CRD No. 4672129, Respondents. Disciplinary Proceeding No. 2021071137001 Hearing Officer: COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. Lek Securities Corporation (“LSC” or “the Firm”), acting through its Chief Executive Officer, Charles Frederik Lek (“Lek”), violated the terms of a December 2019 Order Accepting Offer of Settlement with FINRA (the “Order”).1 2.