FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063821605 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas J. Rosenberg (Respondent) General Securities Representative CRD No. 3214215 Pursuant to FINRA Rule 9216, Respondent Douglas J. Rosenberg 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. 2019060648802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert P. Foley (Respondent) Former General Securities Principal and General Securities Representative CRD No. 6060234 Pursuant to FINRA Rule 9216, Respondent Robert P. Foley submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.