FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063576601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Keith Wakefield, Respondent General Securities Representative CRD No. 3250539 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Keith Wakefield 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. 2014043750301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joseph H. Pratt, Respondent General Securities Representative CRD No. 719416 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Joseph H. Pratt ("Pratt" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations