FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071861301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric J. Stone (Respondent) Former General Securities Representative CRD No. 5227654 Pursuant to FINRA Rule 9216, Respondent Eric J. Stone 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. 2022074198401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kathleen A. Johansen (Respondent) Former Associated Person CRD No. 4408545 Pursuant to FINRA Rule 9216, Respondent Kathleen A. Johansen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.