FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060957101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CIM Securities, LLC (Respondent or CIM Securities) Member Firm CRD No. 120852 Pursuant to FINRA Rule 9216, Respondent CIM Securities, LLC 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. 2019063042401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark Giordano (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 4052216 Pursuant to FINRA Rule 9216, Respondent Mark Giordano submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.