FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060308502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew B. Nekuza (Respondent) Former General Securities Representative CRD No. 6332114 Pursuant to FINRA Rule 9216, Respondent Matthew B. Nekuza 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. 2018057247001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ivan Shore, Respondent General Securities Representative and General Securities Sales Supervisor CRD No. 1012943 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ivan Shore submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.