FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076282801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James R. Dickie (Respondent) Former General Securities Representative CRD No. 4465359 Pursuant to FINRA Rule 9216, Respondent James R. Dickie 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. 2023078870201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jorge Hernandez (Respondent) Former Investment Company Shares and Variable Contracts Representative CRD No. 5340171 Pursuant to FINRA Rule 9216, Respondent Jorge Hernandez (Hernandez) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.