FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072036301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dante Moss (Respondent) Investment Company and Variable Contracts Representative CRD No. 7010652 Pursuant to FINRA Rule 9216, Respondent Dante Moss 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. 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.