FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069196401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Bradley Kintz (Respondent) General Securities Representative CRD No. 2667817 Pursuant to FINRA Rule 9216, Respondent Thomas Bradley Kintz 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. 2022075928701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Sebastion Cangialosi (Respondent) Former General Securities Representative and Former Investment Banking Representative CRD No. 3273830 Pursuant to FINRA Rule 9216, Respondent John Sebastion Cangialosi submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.