FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067955001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher John Shaw (Respondent) General Securities Representative CRD No, 5011382 Pursuant to FINRA Rule 9216, Respondent Christopher John Shaw 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. 2021073508501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hans P. Eveillard (Respondent) General Securities Representative CRD No. 7190141 Pursuant to FINRA Rule 9216, Respondent Hans P. Eveillard submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.