FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2022074432901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Darren N. Ting (Respondent) Former General Securities Representative CRD No. 6814035 Pursuant to FINRA Rule 9216, Respondent Darren N. Ting 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. 2015044336602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John A. Ordonez (Respondent) Former General Securities Representative, Former Investment Banking Representative, and Former Operations Professional CRD No. 4308539 Pursuant to FINRA Rule 9216, Respondent John Ordonez submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.