FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062569401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clark M. Nobil, Respondent General Securities Representative CRD No. 348552 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Clark M. Nobil ("Nobil" or "Respondent") 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. 2017054875402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mauricio Abadi, Respondent Former General Securities Representative CRD No. 4461130 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Mauricio Abadi submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations