FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076684401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Nicholas Matson Former General Securities Representative CRD No. 1796541 Pursuant to FINRA Rule 9216, Respondent John Nicholas Matson (Matson) 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. 2022075871401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ching Yuan “Gary” Chang (Respondent) Former General Securities Representative CRD No. 2922898 Pursuant to FINRA Rule 9216, Respondent Ching Yuan “Gary” Chang submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.