FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061365002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean D. Casterline (Respondent) General Securities Representative and General Securities Principal CRD No. 2212919 Pursuant to FINRA Rule 9216, Respondent Sean D. Casterline 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. Tarek Mohsen Mohamed (CRD No. 6717691), Respondent. Disciplinary Proceeding No. 2020067814802 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Tarek Mohsen Mohamed failed to provide a complete response to FINRA’s January and February 2021 requests for information and documents made pursuant to FINRA Rule 8210. As a result, Mohamed violated FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071994801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Patrick Nixon (Respondent) Former General Securities Representative CRD No. 2169631 Pursuant to FINRA Rule 9216, Respondent Michael Patrick Nixon submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on