FINANCIAL INDUSTRY REGULATORY AUTHORJTY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 2021070917301 TO: Department of Enforcement Financial Industry Regulator Authority (FINRA) RE: David Lau (Respondent) Former General Securities Representative CRD No. 4567411 Pursuant to FINRA Rule 9216, Respondent David Lau 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. 2021073395101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Paul Edward Jumet, Jr., (Respondent) Former General Securities Representative CRD No. 5958643 Pursuant to FINRA Rule 9216, Respondent Charles Jumet, Jr., submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.