FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080053501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Louis Peter Goff (Respondent) Former General Securities Representative CRD No. 4882759 Pursuant to FINRA Rule 9216, Respondent Louis Peter Goff 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. 2023079333101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Todd R. Anderson (Respondent) Former General Securities Representative CRD No. 1896352 Pursuant to FINRA Rule 9216, Respondent Todd R. Anderson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.