LEGAL NOTICE THE OHIO DIVISION OF SECURITIES, PURSUANT TO OHIO REVISED CODE CHAPTER 1707 AND CHAPTER 119, HAS ISSUED A NOTICE OF OPPORTUNITY FOR HEARING AND NOTICE OF INTENT TO ISSUE CEASE AND DESIST ORDER TO OPEN TRADING GROUP, LLC, (HEREINAFTER "RESPONDENT") ON NOVEMBER 17, 2025, UNDER DIVISION ORDER 25-017. THE NOTICE ALLEGES THAT RESPONDENT VIOLATED THE FOLLOWING SECTIONS OF THE OHIO REVISED CODE: SECTION 1707.44(A)(1) BY BEING UNLICENSED AND ENGAGING IN THE SALE OF SECURITIES; SECTION 1707.44(B)(4) BY KNOWINGLY MAKING FALSE REPRESENTATIONS CONCERNING A MATERIAL FACT FOR THE PURPOSE OF SELLING SECURITIES IN THIS STATE; AND SECTION 1707.44(G) BY, IN SELLING SECURITIES, KNOWINGLY ENGAGING IN ACTS WHICH WERE FRAUDULENT. OPEN TRADING GROUP, LLC, IS HEREBY NOTIFIED THAT IT IS ENTITLED TO AN ADJUDICATIVE HEARING. IF OPEN TRADING GROUP, LLC, WISHES TO REQUEST SUCH HEARING, THE REQUEST MUST BE MADE IN WRITING TO THE DIVISION OF SECURITIES WITHIN THIRTY (30) DAYS OF THE DATE OF PUBLICATION OF THIS NOTICE. AT THE HEARING, OPEN TRADING GROUP, LLC, MAY APPEAR IN PERSON, BY ITS ATTORNEY, OR BY SUCH OTHER REPRESENTATIVE AS IS PERMITTED TO PRACTICE BEFORE THE AGENCY, OR MAY PRESENT THE OPEN TRADING GROUP, LLC'S POSITION, ARGUMENTS, OR CONTENTIONS IN WRITING. AT THE HEARING, OPEN TRADING GROUP, LLC, MAY PRESENT EVIDENCE AND EXAMINE WITNESSES APPEARING FOR AND AGAINST THE RESPONDENT(S). A COPY OF THE COMPLETE NOTICE IS AVAILABLE FROM THE OHIO DIVISION OF SECURITIES, 77 SOUTH HIGH STREET, 22ND FLOOR, COLUMBUS, OHIO 43215-6131. IPL0321526 Mar 12 2026