FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065035201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christian Frank Lucchetto, (Respondent) General Securities Representative CRD No. 4648994 Pursuant to FINRA Rule 9216, Respondent Christian Frank Lucchetto 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. 2020067455201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Javelin M. San Nicolas (Respondent) Former General Securities Representative CRD No. 6722186 Pursuant to FINRA Rule 9216, Respondent Javelin M. San Nicolas submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.