FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078087101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Vernor (Respondent) Former General Securities Representative CRD No. 1277533 Pursuant to FINRA Rule 9216, Respondent Thomas Vernor 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. 2021071901901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Colin Healy (Respondent) Former General Securities Representative CRD No. 4672687 Pursuant to FINRA Rule 9216, Respondent Colin Healy submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.