FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072384301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymi Nodarse Valdes (Respondent) CRD No. 6900424 Pursuant to FINRA Rule 9216, Respondent Raymi Nodarse Valdes submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANClAL lNDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2021072641301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE. Joan Ella Burgio (Respondent) Former General Securities Representative CRD No. 5397635 Pursuant to FINRA Rule 9216, Respondent Joan Ella Burgio submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.