FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072888301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frenise L. Mann (Respondent) Former General Securities Representative CRD No. 6972542 Pursuant to FINRA Rule 9216, Respondent Frenise L. Mann 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. 2023079235501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Allen Silvestri (Respondent) General Securities Representative CRD No. 2037669 Pursuant to FINRA Rule 9216, Respondent Robert Allen Silvestri submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.