FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063601701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alec C. Franks, Respondent General Securities Representative CRD No. 5797052 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Alec Franks 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. 2018060345401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joshua K. Staudinger, Respondent Former General Securities Representative CRD No. 5954979 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Joshua K. Staudinger submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.