FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061947601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph A. Ambrosole (Respondent) General Securities Representative CRD No. 5732488 Pursuant to FINRA Rule 9216, Respondent Joseph A. Ambrosole 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. 2019062890901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Andrew Catanzano (Respondent) Former Investment Company and Variable Contracts Products Representative and Former General Securities Representative CRD No. 4266723 Pursuant to FINRA Rule 9216, Respondent Timothy Andrew Catanzano submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing