FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066756101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Michael Hallberg General Securities Representative CRD No. 3053755 Pursuant to FINRA Rule 9216, Respondent Thomas Michael Hallberg 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. 2021071491001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian F. Donnelly (Respondent) Former General Securities Representative CRD No. 4288121 Pursuant to FINRA Rule 9216, Respondent Brian F. Donnelly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.