FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054875402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mauricio Abadi, Respondent Former General Securities Representative CRD No. 4461130 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Mauricio Abadi submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056104801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Jason Collins, Respondent General Securities Representative CRD No. 2915653 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Jason Collins ("Collins") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.