FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070408202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Old Slip Capital Management, Inc. (Respondent) Member Firm CRD No. 7360 Pursuant to FINRA Rule 9216, Respondent Old Slip Capital Management, 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. 2020067464701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick A. Perugino (Respondent) General Securities Representative CRD No. 6363411 Pursuant to FINRA Rule 9216, Respondent Patrick A. Perugino submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.