FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066435801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alonzo C. Castillo, Respondent Former Associated Person CRD No. 7207820 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Alonzo C. Castillo 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. 2019063901501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ferrell Lee Rollins Jr., Respondent Former General Securities Representative CRD No. 1449560 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ferrell Lee Rollins Jr. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.