FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070741901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Jacob Ciolek (Respondent) Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 2314551 Pursuant to FINRA Rule 9216, Respondent Thomas Jacob Ciolek 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. 2020068211001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joel D. Plasco (Respondent) Former General Securities Representative CRD No. 3220164 Pursuant to FINRA Rule 9216, Respondent Joel D. Plasco submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.