FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071276801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Alva Foster (Respondent) General Securities Representative CRD No. 2771184 Pursuant to FINRA Rule 9216, Respondent Thomas Alva Foster 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. 2020065945901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jimmy William Nunez Jr. (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6432136 Pursuant to FINRA Rule 9216, Respondent Jimmy William Nunez Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.