FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068856201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Horn (Respondent) General Securities Representative CRD No. 2579003 Pursuant to FINRA Rule 9216, Respondent Steven Horn 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. 2020068210301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathan M. Plumb Former General Securities Representative CRD No. 4598158 Pursuant to FINRA Rule 9216, Respondent Nathan M. Plumb submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.