FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067705901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nedjeen Baptiste (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6308317 Pursuant to FINRA Rule 9216, Respondent Nedjeen Baptiste 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. 2020067463101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: George Marshall Warner (Respondent) Former General Securities Representative CRD No. 2300570 Pursuant to FINRA Rule 9216, Respondent George Marshall Warner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.