FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056432603 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher G. Orlando (Respondent) Former General Securities Representative CRD No. 4136262 Pursuant to FINRA Rule 9216, Respondent Christopher G. Orlando 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. 2019062574901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Thomas Carl (Respondent) Former General Securities Representative CRD No. 3023492 Pursuant to FINRA Rule 9216, Respondent Michael Thomas Carl submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.