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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055074302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Rookasin, Respondent CRD No. 5760016 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Rookasin ("Rookasin" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058354501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roger L. Owens, Respondent Former Registered Representative CRD No. 2359204 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roger L. Owens submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations