FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063531701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maureen McKenna Fasanella (Respondent) Former Associated Person CRD No. 5580617 Pursuant to FINRA Rule 9216, Respondent Maureen McKenna Fasanella 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064209301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lee B. Taylor (Respondent) General Securities Representative and Operations Professional CRD No. 3045030 Pursuant to FINRA Rule 9216, Respondent Lee B. Taylor 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