FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053574801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Daniel W. Staudacher, Respondent Investment Company and Variable Products Representative CRD No. 2878221 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Daniel W. Staudacher, submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058316601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stefan Pastor, Respondent General Securities Representative CRD No. 5141819 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stefan Pastor ("Pastor" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of