FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075106101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jermaine K. Benjamin (Respondent) Former General Securities Representative and Former Investment Company Shares and Variable Contracts Representative CRD No. 6152653 Pursuant to FINRA Rule 9216, Respondent Jermaine K. Benjamin 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. 2021072053201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean Pong (Respondent) Former General Securities Representative CRD No. 2406530 Pursuant to FINRA Rule 9216, Respondent Sean Pong submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.