FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068267501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Anne McCutcheon Crivelli Former Associated Person CRD No. 7038473 Pursuant to FINRA Rule 9216, Respondent Anne Crivelli submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064871001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Riviere (Respondent) Former General Securities Principal (GSP) and Former General Securities Representative (GSR) CRD No. 500327 Pursuant to FINRA Rule 9216, Respondent Robert Riviere submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.