FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016047634502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jay Clint Tomlinson (Respondent) General Securities Representative, General Securities Principal CRD No. 2680269 Pursuant to FINRA Rule 9216, Respondent Jay Clint Tomlinson 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. 2019063636301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Conant (Respondent) Former General Securities Principal CRD No. 2325682 Pursuant to FINRA Rule 9216, Respondent James A. Conant submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.