FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064188001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William H. Dixon (Respondent) General Securities Representative CRD No. 68881 Pursuant to FINRA Rule 9216, Respondent William H. Dixon 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. 2020066794901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jue-Hua Rae Yau (Respondent) General Securities Representative (GSR) CRD No. 5664387 Pursuant to FINRA Rule 9216, Respondent Jue-Hua Rae Yau submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.