FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065370301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arieh Israel (Respondent) Former Investment Company and Variable Contracts Representative CRD No. 6481347 Pursuant to FINRA Rule 9216, Respondent Arieh Israel 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. 2020065906301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hung Brandon Ly (Respondent) Former General Securities Representative CRD No. 5500875 Pursuant to FINRA Rule 9216, Respondent Hung Brandon Ly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.