FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074672801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Madison Sloan Trewhitt III (Respondent) Former General Securities Representative CRD No. 2008420 Pursuant to FINRA Rule 9216, Respondent Madison Sloan Trewhitt III 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. 2018056490301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Marchese (Respondent) General Securities Representative CRD No. 5905008 Pursuant to FINRA Rule 9216, Respondent Philip Marchese submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.