FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065936301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark Larry Delgadillo (Respondent) Former General Securities Representative CRD No. 1436842 Pursuant to FINRA Rule 9216, Respondent Mark Larry Delgadillo 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. 2020068182001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John O'Bannon General Securities Representative CRD No. 6737306 Pursuant to FINRA Rule 9216, Respondent John O’Bannon submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.