FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen G. Whitman CRD No. 2230369, Respondent. Disciplinary Proceeding No. 2021071227301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Stephen G. Whitman failed to respond to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210 in September and October 2021. As a result, Whitman violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041813501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deutsche Bank Securities Inc. (Respondent) Member Firm CRD No. 2525 Pursuant to FINRA Rule 9216, Respondent Deutsche Bank 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. Fusion Analytics Securities, LLC CRD No. 124245, Respondent. Disciplinary Proceeding No. 2018059545604 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 to at least August 2019, Respondent Fusion Analytics Securities, LLC, acting through MC, its indirect owner and Managing Partner, and EW, one of COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 to at least