FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073486701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Joseph DeHayes (Respondent) General Securities Representative CRD No. 2638059 Pursuant to FINRA Rule 9216, Respondent Robert Joseph DeHayes 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. 2023079873002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Edward Steven Mercer (Respondent) General Securities Representative CRD No. 1839328 Pursuant to FINRA Rule 9216, Respondent Edward Steven Mercer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.