FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056047701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ronald "Ramone" J. Knight, Respondent Former Registered Representative CRD No. 5265446 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ronald J. Knight 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. 2018059857701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Martin J. Petela, Respondent General Securities Representative CRD No. 5587657 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Martin J. Petela submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.