FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058988301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Solomon Wei-En Hua (Respondent) General Securities Representative CRD No. 6168816 Pursuant to FINRA Rule 9216, Respondent, Solomon Wei-En Hua 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. 2020065342802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond E. Jennison, Jr. (Respondent) Former General Securities Representative CRD No. 867502 Pursuant to FINRA Rule 9216, Respondent Raymond E. Jennison, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.