FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060896801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Salvatore Gambino (Respondent) Former General Securities Principal, Former General Securities Representative CRD No. 2846054 Pursuant to FINRA Rule 9216, Respondent Salvatore Gambino 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. 2022074637301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathan Wilks (Respondent) Former General Securities Representative CRD No. 7291086 Pursuant to FINRA Rule 9216, Respondent Nathan Wilks submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.