FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2021070498102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alan Mason (Respondent) General Securities Representative CRD No. 1302190 Pursuant to FINRA Rule 9216, Respondent Alan Mason submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081689201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gary Alan Kieper (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4147968 Pursuant to FINRA Rule 9216, Respondent Gary Alan Kieper submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.