FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061911001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cody Hawkins-Fitzgerald, Respondent Former Registered Representative CRD No. 2506434 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cody Hawkins-Fitzgerald ("Hawkins") 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. 2018060554601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Steven Mullaly, Respondent General Securities Representative CRD No. 2679121 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Steven Mullaly submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations