FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063386201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Solium Financial Services LLC (Respondent) Member Firm CRD No. 147933 Pursuant to FINRA Rule 9216, Respondent Solium Financial Services LLC (SFS or the firm) 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. 2020067348501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Maguire (Respondent) Former Research Analyst and General Securities Representative CRD No. 5011014 Pursuant to FINRA Rule 9216, Respondent Brian Maguire submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.