FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062425701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jonathan H. Dudley (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5413469 Pursuant to FINRA Rule 9216, Respondent Jonathan H. Dudley 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. 2019062711601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arthur Obermeier (Respondent) Former General Securities Representative CRD No. 350245 Pursuant to FINRA Rule 9216, Respondent Arthur Obermeier 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