FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068358801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Simon Dude Granner (Respondent) Former General Securities Representative CRD No. 5819063 Pursuant to FINRA Rule 9216, Respondent Simon Dude Granner 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. 2019061158901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lampert Capital Markets Inc. (Respondent) Member Firm CRD No. 103725 Pursuant to FINRA Rule 9216, Respondent Lampert Capital Markets Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.