FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067007401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Benjamin Edenbaum (Respondent) General Securities Representative (GSR) CRD No. 3040543 Pursuant to FINRA Rule 9216, Respondent Andrew Benjamin Edenbaum 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068606301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Michael Stevens (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2830472 Pursuant to FINRA Rule 9216, Respondent David Michael Stevens submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.