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.