FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066245201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Leslie Mandau (Respondent) Former General Securities Representative CRD No. 3247517 Pursuant to FINRA Rule 9216, Respondent Robert Leslie Mandau 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. 2020066135901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ryan Raskin, (Respondent) Former General Securities Representative CRD No. 5539610 Pursuant to FINRA Rule 9216, Respondent Ryan Raskin submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.