FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067994801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John C. Shen (Respondent) General Securities Representative CRD No. 4859035 Pursuant to FINRA Rule 9216, Respondent John C. Shen 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. 2024082405101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Waldon Fenster (Respondent) Former Associated Person CRD No. 7678526 Pursuant to FINRA Rule 9216, Respondent Waldon Fenster submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.