FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073421502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Halfen (Respondent) Former Investment Company and Variable Contracts Products Representative and Former Investment Banking Representative CRD No. 6944547 Pursuant to FINRA Rule 9216, Respondent David Halfen 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. 2023079716801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: JoAnn Weihs (Respondent) Associated Person CRD No. 6170575 Pursuant to FINRA Rule 9216, Respondent JoAnn Weihs submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.