FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063806101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Zakhary (Respondent) Former General Securities Representative CRD No. 6399894 Pursuant to FINRA Rule 9216, Respondent Paul Zakhary 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061563601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: B.C. Ziegler and Company (Respondent) Member Firm CRD No. 61 Pursuant to FINRA Rule 9216, Respondent B.C. Ziegler and Company 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, if