FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068854701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Blake Adam Ridenour (Respondent) General Securities Representative CRD No. 5508315 Pursuant to FINRA Rule 9216, Respondent Blake Adam Ridenour 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. 2021072384301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymi Nodarse Valdes (Respondent) CRD No. 6900424 Pursuant to FINRA Rule 9216, Respondent Raymi Nodarse Valdes submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.