FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057865701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Preston K. Tsao, Respondent Former Registered Representative CRD No. 1892935 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Preston K. Tsao 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. 2019063532801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donna M. Pitts, Respondent Former Operations Professional CRD No. 2708516 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Donna M. Pitts, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations