FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064527101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel Weimer (Respondent) General Securities Principal, General Securities Representative, and Investment Company and Variable Contracts Products Representative CRD No. 1859854 Pursuant to FINRA Rule 9216, Respondent Daniel Weimer 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. 2019061887702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William James Novack (Respondent) Former General Securities Representative (GSR): CRD No. 1181334 Pursuant to FINRA Rule 9216, Respondent William James Novack submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted