FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067474201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathaniel Leigh Goldenberg (Respondent) Former General Securities Representative CRD No. 4903121 Pursuant to FINRA Rule 9216, Respondent Nathaniel Leigh Goldenberg 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. 2018058750801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jenny Xinfang Feng (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6312900 Pursuant to FINRA Rule 9216, Respondent Jenny Xinfang Feng submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.