FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077350301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Leslie D. Jackson (Respondent) Former General Securities Representative CRD No. 2176917 Pursuant to FINRA Rule 9216, Respondent Leslie D. Jackson 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. 2023078603801 TO: Department of Enforcement Financial Industry Regulatory Authority (FlNRA) RE: Ron Ernest Filoramo (Respondent) Fonner General Securities Representative CRD No. 3270398 Pursuant to FINRA Rule 9216, Respondent Ron Filoramo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.