FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071439701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Courtney Michelle Kaplan (Respondent) Former General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 5249375 Pursuant to FINRA Rule 9216, Respondent Courtney Kaplan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070377701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deborah Herrmann (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5204514 Pursuant to FINRA Rule 9216, Respondent Deborah Herrmann 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