FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057421801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott S. Niekamp (Respondent) General Securities Representative CRD No. 3277810 Pursuant to FINRA Rule 9216, Respondent Scott S. Niekamp 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. 2014041944901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: G1 Execution Services, LLC (Respondent) Member Firm CRD No. 111528 Pursuant to FINRA Rule 9216, Respondent G1 Execution Services, LLC (“G1” or “the firm”) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.