FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081406001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Reyes (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5330710 Pursuant to FINRA Rule 9216, Respondent David Reyes 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.2021071510801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Robert Hutcheson (Respondent) General Securities Representative CRD No. 2539627 Pursuant to FINRA Rule 9216, Respondent Andrew Robert Hutcheson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.