FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062922001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond Alagao Velasco, Sr. (Respondent) Former General Securities Representative CRD No. 4867519 Pursuant to FINRA Rule 9216, Respondent Raymond Alagao Velasco, Sr. 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 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Gregory J. Mancuso (CRD No. 5681691), Respondent. Disciplinary Proceeding No. 2020066608501 Hearing Officer-DRS DEFAULT DECISION March 31, 2021 For providing false testimony during an on-the-record interview, in violation of FINRA Rules 8210 and 2010, Respondent Gregory J. Mancuso is barred in all capacities from associating with any FINRA member firm.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068649401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason V. McHenry (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6276756 Pursuant to FINRA Rule 9216, Respondent Jason V. McHenry submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.