FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080652501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kaitlyn Potter (Respondent) Former Associated Person CRD No. 7398611 Pursuant to FINRA Rule 9216, Respondent Kaitlyn Potter 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. 2023079441001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Torres (Respondent) Former General Securities Representative CRD No. 5447241 Pursuant to FINRA Rule 9216, Respondent Robert Torres submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.