FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052179401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: ProEquities, Inc., Respondent CRD No. 15708 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ProEquities, Inc. ("ProEquities" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059328901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Matthew P. Amos, Respondent CRD No. 1177946 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Matthew P. Amos ("Amos" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of