FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John A. Orlando CRD No. 2002197, Respondent Disciplinary Proceeding No. 2019063633301 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 5, 2022 INTRODUCTION Disciplinary Proceeding No. 2019063633301 was filed on March 31, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent John A. Orlando submitted an Offer of Settlement (Offer) to Complainant dated August 4, 2022.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056820701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James R. Pecoraro (Respondent) General Securities Representative CRD No. 2440231 Pursuant to FINRA Rule 9216, Respondent James R. Pecoraro submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.