FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076586001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arun K. Aggarwal (Respondent) Former General Securities Representative CRD No. 1658436 Pursuant to FINRA Rule 9216, Respondent Arun K. Aggarwal 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. 2022076282801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James R. Dickie (Respondent) Former General Securities Representative CRD No. 4465359 Pursuant to FINRA Rule 9216, Respondent James R. Dickie submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.