FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067267701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ernest Frerking (Respondent) Former General Securities Representative CRD No. 2588177 Pursuant to FINRA Rule 9216, Respondent Ernest Frerking 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. 2021070774101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David John Wilkie (Respondent) Former General Securities Representative CRD No. 467130 Pursuant to FINRA Rule 9216, Respondent David John Wilkie submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.