FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057753501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Seth Warshaw, Respondent Registered Representative CRD No. 5287542 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Seth Warshaw 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. 2019061052201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael R. Severance, Respondent General Securities Representative CRD No. 1023971 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael R. Severance submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations