FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066576401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Austin, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6702519 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Austin 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. 2019061086303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John W. Loofbourrow, Respondent General Securities Principal, General Securities Representative, Financial and Operations Principal, Municipal Securities Principal, Investment Banking Representative, Investment Banking Principal, Compliance Officer and Operations Professional CRD No. 312494 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure,