FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064899201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jasmit Singh (Respondent) Former Investment Banking Representative CRD No. 6483304 Pursuant to FINRA Rule 9216, Respondent Jasmit Singh 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. 2017055120903 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael August Pellegrino, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5900843 Pursuant to FINRA Rule 9216, Respondent Michael August Pellegrino submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.