FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056119601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Halldin (Respondent) Former General Securities Principal and General Securities Representative CRD No. 1458098 Pursuant to FINRA Rule 9216, Respondent Robert Halldin 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. 2019061857201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Martin Ray Evans, Respondent Former General Securities Representative CRD No. 2412900 Pursuant to FINRA Rule 9216, Respondent Martin Ray Evans submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.