FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069362701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oshima & Associates (Respondent) Member Firm CRD No. 10370 Pursuant to FINRA Rule 9216, Respondent Oshima & Associates 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. 2022076215001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph A. Occhipinti (Respondent) Former General Securities Representative CRD No. 6538272 Pursuant to FINRA Rule 9216, Respondent Joseph A. Occhipinti submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.