FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067611801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shane Edward Perry (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2163879 Pursuant to FINRA Rule 9216, Respondent Shane Edward Perry 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. 2019064722601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dinu Marian Tise (Respondent) Former General Securities Representative CRD No. 4609240 Pursuant to FINRA Rule 9216, Respondent Dinu Marian Tise submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.