FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056458302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Assatly (Respondent) General Securities Principal CRD No. 2152563 Pursuant to FINRA Rule 9216, Respondent William Assatly 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. 2019064979301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David B. Zuber (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 3239595 Pursuant to FINRA Rule 9216, Respondent David B. Zuber submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.