FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073421501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marvin Somlo (Respondent) General Securities Representative CRD No. 6617205 Pursuant to FINRA Rule 9216, Respondent Marvin Somlo 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. 2023080454101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rosaline Alam (Respondent) Former General Securities Representative CRD No. 5742202 Pursuant to FINRA Rule 9216, Respondent Rosaline Alam submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.