FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078455601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brett Arthur Hartvigson (Respondent) Former General Securities Representative CRD No. 2263087 Pursuant to FINRA Rule 9216, Respondent Brett Arthur Hartvigson 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. 2021073167202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy William Leveroni (Respondent) General Securities Principal and Representative CRD No. 836167 Pursuant to FINRA Rule 9216, Respondent Timothy William Leveroni submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.