FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074678101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rene Adolfo Bolivar (Respondent) Former General Securities Representative CRD No. 3275996 Pursuant to FINRA Rule 9216, Respondent Rene Adolfo Bolivar 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. 2023078014501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephenie Ashley Collins (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5903192 Pursuant to FINRA Rule 9216, Respondent Stephenie Ashley Collins submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violation described below.