FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069380601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Blaine R. Stahlman (Respondent) General Securities Principal CRD No. 1189213 Pursuant to FINRA Rule 9216, Respondent Blaine R. Stahlman 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, W AIYER, AND CONSENT NO. 2021071463401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harold E. Klein (Respondent) General Securities Principal and General Securities Representative CRDNo.1021759 Pursuant to FINRA Rule 9216, Respondent Harold E. Klein submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.