FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064872501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Richard Hansen (Respondent) Former General Securities Representative and General Securities Principal CRD No. 2837763 Pursuant to FINRA Rule 9216, Respondent Scott Richard Hansen 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. 2019061333101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kerry M. Moy, (Respondent) Former General Securities Representative CRD No. 1295255 Pursuant to FINRA Rule 9216, Respondent Kerry M. Moy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.