FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071288701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael R. Neill (Respondent) General Securities Representative CRD No. 4700490 Pursuant to FINRA Rule 9216, Respondent Michael R. Neill 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. 2022076459302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason Lee Pintus (Respondent) Former General Securities Principal and Former General Securities Representative CRD No. 5239408 Pursuant to FINRA Rule 9216, Respondent Jason Lee Pintus submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.