FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064977701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James F. O’Reilly (Respondent) Former General Securities Representative CRD No. 2209758 Pursuant to FINRA Rule 9216, Respondent James F. O’Reilly 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. 2020067888701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Scott Anderson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5993214 Pursuant to FINRA Rule 9216, Respondent Jeffrey Scott Anderson (“Respondent” or “Anderson”) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.