FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068226101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael F. Shillin (Respondent) Former General Securities Representative CRD No. 5927156 Pursuant to FINRA Rule 9216, Respondent Michael F. Shillin 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. 2020065443201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rawad Roy Alame (Respondent) Former General Securities Representative CRD No. 5376696 Pursuant to FINRA Rule 9216, Respondent Rawad Roy Alame submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.