FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071226601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Coughlin & Company, Inc. (Respondent) Member Firm CRD No. 185 Pursuant to FINRA Rule 9216, Respondent Coughlin & Company, Inc., 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. 2020067041002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Gerard Ciantro (Respondent) Financial and Operations Principal; General Securities Principal; General Securities Representative; Operations Professional CRD No. 2350685 Pursuant to FINRA Rule 9216, Respondent Philip Gerard Ciantro submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.