FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076796001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason Mark Kurtz (Respondent) Former General Securities Principal and General Securities Representative CRD No. 4958219 Pursuant to FINRA Rule 9216, Respondent Jason Mark Kurtz 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. 2023079740501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tara Quilty (Respondent) General Securities Representative CRD No. 3018242 Pursuant to FINRA Rule 9216, Respondent Tara Quilty submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.