FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059545603 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric Carl Willer (Respondent) General Securities Representative and Investment Banking Representative CRD No. 2263899 Pursuant to FINRA Rule 9216, Respondent Eric Carl Willer 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. 2020068420702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Emile Lian (Respondent) Former General Securities Representative CRD No. 2639356 Pursuant to FINRA Rule 9216, Respondent Michael Emile Lian, 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