FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060753501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Salvatore Pizzimenti (Respondent) Former General Securities Representative CRD No. 2879580 Pursuant to FINRA Rule 9216, Respondent Salvatore Pizzimenti 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. 2019064900501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Peter Bruce Suyama (Respondent) General Securities Representative CRD No. 1404564 Pursuant to FINRA Rule 9216, Respondent Peter Bruce Suyama submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.