FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056483902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mirsad A. Muharemovic (Respondent) Former General Securities Representative CRD No. 3122589 Pursuant to FINRA Rule 9216, Respondent Mirsad A. Muharemovic 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. 2020065435402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael G. DeLuca (Respondent), General Securities Principal CRD No. 4428054 Pursuant to FINRA Rule 9216, Respondent Michael G. DeLuca submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.