FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066888101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nico Rutella (Respondent) Former General Securities Representative CRD No. 5579678 Pursuant to FINRA Rule 9216, Respondent Nico Rutella submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059528401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: HSBC Securities (USA) Inc. (Respondent) Member Firm CRD No. 19585 Pursuant to FINRA Rule 9216, Respondent HSBC Securities (USA) Inc. (HSBC 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.