FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052118001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: NatAlliance Securities, LLC (Respondent) Member Firm CRD No. 39455 Pursuant to FINRA Rule 9216, Respondent NatAlliance Securities, LLC f/k/a National Alliance Securities, LLC 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Hugues Guirand (CRD No. 3045595), Respondent. Disciplinary Proceeding No. 2020068395801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Hugues Guirand (“Guirand” or “Respondent”) failed to provide information and documents FINRA requested pursuant to FINRA Rule 8210, and further failed to appear and provide testimony FINRA requested pursuant to FINRA Rule 8210 on two occasions.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062068001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jared Matthew Reinstein (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 5411470 Pursuant to FINRA Rule 9216, Respondent Jared Matthew Reinstein submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.