FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081427901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Francis Trimber (Respondent) Former General Securities Representative CRD No. 2765260 Pursuant to FINRA Rule 9216, Respondent Paul Francis Trimber 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. 2022075762601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David A. Dodson (Respondent) Former General Securities Representative CRD No. 2363957 Pursuant to FINRA Rule 9216, Respondent David A. Dodson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.