FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061764701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Geneos Wealth Management, Inc., Respondent Member Firm CRD No. 120894 Pursuant to FINRA Rule 9216, Respondent Geneos Wealth Management, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071199401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Joseph O’Neill (Respondent) General Securities Representative CRD No. 2615841 Pursuant to FINRA Rule 9216, Respondent Patrick Joseph O’Neill submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.