FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079726401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Pergola (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 1132631 Pursuant to FINRA Rule 9216, Respondent William Pergola 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. 2019060753509 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard F. Reynolds (Respondent) Former General Securities Representative CRD No. 2162706 Pursuant to FINRA Rule 9216, Respondent Richard F. Reynolds submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.