FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2022073661801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael G. Mancinelli (Respondent) Former General Securities Representative CRD No. 5505925 Pursuant to FINRA Rule 9216, Respondent Michael G. Mancinelli 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068668802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kelly Diane Thomason (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 5684407 Pursuant to FINRA Rule 9216, Respondent Kelly Diane Thomason submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described