FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067713101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Benjamin Nelson (Respondent) General Securities Representative CRD No. 4768530 Pursuant to FINRA Rule 9216, Respondent John Benjamin Nelson 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. 2020065114701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tradition Securities and Derivatives LLC (Respondent) Member Firm CRD No. 28269 Pursuant to FINRA Rule 9216, Respondent Tradition Securities and Derivatives LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.