FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057286801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Henry Postel, Respondent CRD No. 1478786 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Charles Henry Postel (“Postel” or “Respondent”) 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. 2019064947501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jennifer L. Basey, Respondent General Securities Representative CRD No. 4730054 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Jennifer L. Basey, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.