FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2022074618101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Maynerich (Respondent) Former General Securities Representative CRD No. 5912401 Pursuant to FINRA Rule 9216, Respondent Andrew Maynerich 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. 2021070498101 TO: Department of Enforcement Financial Industry Regulatory Authority (FlNRA) RE: Gustavo Rodrigo Ill (Respondent) General Securities Representative CRD No. 3031284 Pursuant to FTNRA Rule 9216, Respondent Gustavo Rodrigo III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.