FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076528901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lawrence Richard Brockman (Respondent) Former General Securities Representative CRD No. 1126810 Pursuant to FINRA Rule 9216, Respondent Lawrence Richard Brockman 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. 2023079298201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas Bauerband (Respondent) Former Investment Company and Variable Contracts Products Representative; Former Direct Participation Programs Representative CRD No. 2850269 Pursuant to FINRA Rule 9216, Respondent Douglas Bauerband submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.