FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078346601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert L. Jones (Respondent) Former General Securities Representative CRD No. 2771452 Pursuant to FINRA Rule 9216, Respondent Robert L. Jones 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. 2021073072701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Michael Bremus (Respondent) Former General Securities Representative CRD No. 4073006 Pursuant to FINRA Rule 9216, Respondent Scott Michael Bremus submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.