FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077908201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Aloysius Dougherty (Respondent) Former General Securities Representative CRD No. 3018615 Pursuant to FINRA Rule 9216, Respondent John Aloysius Dougherty (Dougherty) 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. 2023080036201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Forrest Addington Wester (Respondent) General Securities Representative General Securities Sales Supervisor CRD No. 2559502 Pursuant to FINRA Rule 9216, Respondent Forrest Addington Wester submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.