FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068954301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lady N. Sanchez Romero (Respondent) Former Associated Person CRD No. 5591832 Pursuant to FINRA Rule 9216, Respondent Lady N. Sanchez Romero 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 condition

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055447502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald L. Whittingham (Respondent) General Securities Representative and General Securities Principal CRD No. 4175525 Pursuant to FINRA Rule 9216, Respondent Ronald L. Whittingham submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.