FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056524801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jennifer Lyn McKay, Respondent General Securities Representative CRD No. 6637784 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jennifer Lyn McKay ("McKay" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056121501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel P. Slattery, Respondent Former Registered Representative CRD No. 4655445 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Daniel P. Slattery, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations