FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073037101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Earl Turner, Jr. (Respondent) Former General Securities Representative CRD No. 2113736 Pursuant to FINRA Rule 9216, Respondent Robert Earl Turner, Jr. 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. 2019064190401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Herbert J. Sims & Co, Inc. (Respondent) Member Firm CRD No. 3420 Pursuant to FINRA Rule 9216, Respondent Herbert J. Sims & Co, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.