FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076240401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Lee Golding (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5324763 Pursuant to FINRA Rule 9216, Respondent Robert Lee Golding 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. 2019063686207 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald Morse (Respondent) General Securities Principal and General Securities Representative CRD No. 341008 Pursuant to FINRA Rule 9216, Respondent Ronald Morse submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.