FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073056501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marion Strickler Adams III (Respondent) General Securities Representative CRD No. 1392435 Pursuant to FINRA Rule 9216, Respondent Marion Strickler Adams III 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. 2019064511204 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel M. King (Respondent) General Securities Representative CRD No. 5954543 Pursuant to FINRA Rule 9216, Respondent Daniel M. King submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.