FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079729701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shanon Gut (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5114104 Pursuant to FINRA Rule 9216, Respondent Shannon Gut 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. 2023079735901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: George Condzal (Respondent) General Securities Representative CRD No. 1890265 Pursuant to FINRA Rule 9216, Respondent George Condzal submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.