FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063251701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Martin Martirosian (Respondent) General Securities Representative CRD No. 5261144 Pursuant to FINRA Rule 9216, Respondent David Martin Martirosian 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. 2020065709801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia Kay Whitman (Respondent) General Securities Representative CRD No. 5688967 Pursuant to FINRA Rule 9216, Respondent Cynthia Kay Whitman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.