FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069510201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Ang (Respondent) Former Research Analyst and General Securities Representative CRD No. 6427407 Pursuant to FINRA Rule 9216, Respondent Andrew Ang 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. 2020066927501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert J. McNamara (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1207495 Pursuant to FINRA Rule 9216, Respondent Robert J. McNamara submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068230201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rebecca Everett (Respondent) Former Associated Person CRD No. 2508649 Pursuant to FINRA Rule 9216, Respondent Rebecca Everett 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, if