FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061982001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean Daniel McDevitt, Respondent General Securities Representative CRD No. 2786216 Pursuant to FINRA Rule 9216, Respondent Sean Daniel McDevitt 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. 2020065527102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Darrell A. Smith, Jr. (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6774881 Pursuant to FINRA Rule 9216, Respondent Darrell A. Smith, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.