FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062323801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Patrick Melen (Respondent) General Securities Representative CRD No. 2357251 Pursuant to FINRA Rule 9216, Respondent Steven Patrick Melen 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. 2020069029001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Joseph Dellaporta, Jr. (Respondent) Former General Securities Representative CRD No. 500214 Pursuant to FINRA Rule 9216, Respondent Michael Joseph Dellaporta, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.