FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068071401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Amanda Lynn Williams (Respondent) Former Associated Person CRD No. 7283014 Pursuant to FINRA Rule 9216, Respondent Amanda Lynn Williams 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. 2021071260701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Doan Cong Nguyen (Respondent) Former General Securities Representative (GS) CRD No. 6554242 Pursuant to FINRA Rule 9216, Respondent Doan Cong Nguyen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.