FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065342802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond E. Jennison, Jr. (Respondent) Former General Securities Representative CRD No. 867502 Pursuant to FINRA Rule 9216, Respondent Raymond E. Jennison, Jr. 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. 2019061702701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vision Financial Markets LLC (Respondent) Member Firm CRD No. 142271 Vision Brokerage Services, LLC (Respondent) Member Firm CRD No.