FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063797402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Alan Stateman (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5530638 Pursuant to FINRA Rule 9216, Respondent David Alan Stateman 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. 2019064830701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Edward Magill (Respondent) Former General Securities Representative CRD No. 2024663 Pursuant to FINRA Rule 9216, Respondent Michael Edward Magill submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.