FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062180701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert David, Jr. (Respondent) Former General Securities Representative CRD No. 5211223 Pursuant to FINRA Rule 9216, Respondent Robert David, Jr. 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 the condition that

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065274801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jay S. Sheth (Respondent) General Securities Representative CRD No. 4656009 Pursuant to FINRA Rule 9216, Respondent Jay S. Sheth submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.