FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076230701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul J. Trone (Respondent) Former General Securities Representative CRD No. 7097895 Pursuant to FINRA Rule 9216, Respondent Paul J. Trone 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. 2018056483903 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lon Charles Faccini Jr. (Respondent) Former General Securities Representative CRD No. 2736849 Pursuant to FINRA Rule 9216, Respondent Lon Charles Faccini Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.