FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072636101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dan Edward Droeg (Respondent) Former General Securities Representative CRD No. 1509210 Pursuant to FINRA Rule 9216, Respondent Dan Edward Droeg 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. 2021070900301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Mandel (Respondent) Former General Securities Representative CRD No. 4939165 Pursuant to FINRA Rule 9216, Respondent Michael Mandel 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,