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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059545602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mr. Michael James Conte (Respondent) General Securities Principal General Securities Representative Investment Banking Principal Investment Banking Representative CRD No. 2646071 Pursuant to FINRA Rule 9216, Respondent Michael James Conte submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063249601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Northwest Investment Advisors, Inc. (Respondent) Member Firm CRD No. 109737 Pursuant to FINRA Rule 9216, Respondent Northwest Investment Advisors, Inc. 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
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