FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069365001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Long Island Financial Group, Inc. (Respondent) Member Firm CRD No. 31148 Pursuant to FINRA Rule 9216, Respondent Long Island Financial Group, Inc. (LIFG) 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. 2020065435403 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fortune Financial Services, Inc. (Respondent) Member Firm CRD No. 42150 Pursuant to FINRA Rule 9216, Respondent Fortune Financial Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.