FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068469601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vanguard Marketing Corp. (Respondent) Member Firm CRD No. 7452 Pursuant to FINRA Rule 9216, Respondent Vanguard Marketing Corp. (Respondent or VMC) 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. 2021072740101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Edward Reilly (Respondent) General Securities Representative CRD No. 1175190 Pursuant to FINRA Rule 9216, Respondent Brian Edward Reilly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.