FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072773201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph A. Ambrosole (Respondent) Former General Securities Representative CRD No. 5732488 Pursuant to FINRA Rule 9216, Respondent Joseph A. Ambrosole 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. 2020066192703 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert W. Vial (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1722789 Pursuant to FINRA Rule 9216, Respondent Robert W. Vial submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.