FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076175701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sharif Azmi Sharif (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2343413 Pursuant to FINRA Rule 9216, Respondent Sharif Azmi Sharif 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. 2022075393201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Nguyen (Respondent) Former General Securities Representative CRD No. 3092480 Pursuant to FINRA Rule 9216, Respondent Thomas Nguyen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.