FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064551501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shawn Parker (Respondent) Former General Securities Representative CRD No. 1768234 Pursuant to FINRA Rule 9216, Respondent Shawn Parker 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. 2020067910501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jonathan William Affe (Respondent) Former General Securities Representative CRD No. 4706650 Pursuant to FINRA Rule 9216, Respondent Jonathan William Affe submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.