FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061187801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent A. Virga (Respondent) General Securities Representative CRD No. 5070668 Pursuant to FINRA Rule 9216, Respondent Vincent A. Virga 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. 2018057226601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kurt Jason Gunter, Respondent General Securities Representative CRD No. 2747789 Pursuant to FINRA Rule 9216, Respondent Kurt Jason Gunter submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.