FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060754301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RNR Securities, L.L.C. (Respondent) Member Firm CRD No. 43689 Pursuant to FINRA Rule 9216, Respondent RNR Securities, L.L.C. 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. 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