FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073167202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy William Leveroni (Respondent) General Securities Principal and Representative CRD No. 836167 Pursuant to FINRA Rule 9216, Respondent Timothy William Leveroni 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. 2019062544201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Shevland (Respondent) General Securities Representative and General Securities Principal CRD No. 4570496 Pursuant to FINRA Rule 9216, Respondent Brian Shevland submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.