FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064729706 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alberto J. Vargas (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4195928 Pursuant to FINRA Rule 9216, Respondent Alberto J. Vargas 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. 2020066079901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia La Rosa (Respondent) CRD No. 2459459 Former Associated Person Pursuant to FINRA Rule 9216, Respondent Cynthia La Rosa submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.