FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066911501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Palmery Robert Desir (Respondent) General Securities Representative CRD No. 5559016 Pursuant to FINRA Rule 9216, Respondent Palmery Robert Desir 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. 2020068052001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jared E. Ellis (Respondent) Former General Securities Representative CRD No. 5618664 Pursuant to FINRA Rule 9216, Respondent Jared E. Ellis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.