FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063821603 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael James May (Respondent) General Securities Representative CRD No. 4712287 Pursuant to FINRA Rule 9216, Respondent Michael James May 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. 2021072013401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Okechukwu Linton (Respondent) Former Investment Banking Representative (IB) CRD No. 4971450 Pursuant to FINRA Rule 9216, Respondent Okechukwu Linton 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