FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065678101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Louis M. Olave (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5904834 Pursuant to FINRA Rule 9216, Respondent Louis M. Olave 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. 2019061947601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph A. Ambrosole (Respondent) General Securities Representative CRD No. 5732488 Pursuant to FINRA Rule 9216, Respondent Joseph A. Ambrosole submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.