FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075036001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard M. Funderburk (Respondent) Former Not-Registered Fingerprint Person CRD No. 6129027 Pursuant to FINRA Rule 9216, Respondent Richard M. Funderburk 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. 2022075569501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kimberly A. Sittarich (Respondent) Former Non-Registered Fingerprint Person CRD No. 4497728 Pursuant to FINRA Rule 9216, Respondent Kimberly A. Sittarich submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.