FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064249401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cesar Gabriel Hernandez (Respondent) Former General Securities Principal CRD No. 3249722 Pursuant to FINRA Rule 9216, Respondent Cesar Gabriel Hernandez 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. 2019063728601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Danielle Matson (Respondent) General Securities Representative CRD No. 4140827 Pursuant to FINRA Rule 9216, Respondent Danielle Matson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.