FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067348501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Maguire (Respondent) Former Research Analyst and General Securities Representative CRD No. 5011014 Pursuant to FINRA Rule 9216, Respondent Brian Maguire 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. 2020066700601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gilbert W. Cox (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2973703 Pursuant to FINRA Rule 9216, Respondent Gilbert W. Cox submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.