FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055611501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scott R. Riley, Respondent CRD No. 5178446 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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. 2017054549301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Justin B. Mitchell, Respondent Investment Company Products/Variable Contracts Representative CRD No. 5177794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Justin B. Mitchell ("Mitchell" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")