FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061789202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Gerstein (Respondent) Former General Securities Representative CRD No. 840752 Pursuant to FINRA Rule 9216, Respondent Robert Gerstein 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 2022074647501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven M. Brakman (Respondent), Former General Securities Representative CRD No. 3070076 Pursuant to FINRA Rule 9216, Respondent Steven M. Brakman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.