FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061398501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Scott Harrison (Respondent) Former General Securities Representative CRD No. 3259086 Pursuant to FINRA Rule 9216, Respondent James Scott Harrison 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. 2019064958901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Nagy (Respondent) Former General Securities Representative CRD No. 6836938 Pursuant to FINRA Rule 9216, Respondent Michael Nagy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.