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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065936301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark Larry Delgadillo (Respondent) Former General Securities Representative CRD No. 1436842 Pursuant to FINRA Rule 9216, Respondent Mark Larry Delgadillo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.