FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072260201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jared Winston (Respondent) Former General Securities and Investment Company and Variable Contracts Products Representative CRD No. 7025143 Pursuant to FINRA Rule 9216, Respondent Jared Winston 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. 2018058988301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Solomon Wei-En Hua (Respondent) General Securities Representative CRD No. 6168816 Pursuant to FINRA Rule 9216, Respondent, Solomon Wei-En Hua submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.