FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071099401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Baker Liddle (Respondent) Former General Securities Representative CRD No. 5478479 Pursuant to FINRA Rule 9216, Respondent Anthony Baker Liddle 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. 2020066275801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ramiro Luis Colon III (Respondent) General Securities Representative CRD No. 1868710 Pursuant to FINRA Rule 9216, Respondent Ramiro Luis Colon III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.