FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068637101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Manuel Pinazo (Respondent) Former General Securities Representative CRD No. 5398494 Pursuant to FINRA Rule 9216, Respondent Manuel Pinazo 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. 2020068453201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Latonya L. Anderson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6466679 Pursuant to FINRA Rule 9216, Respondent Latonya L. Anderson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.