FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064239301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: George William Magladry, III, Respondent Former General Securities Representative and former Investment Company and Variable Contracts Products Representative CRD No. 1774860 Pursuant to FINRA Rule 9216, Respondent George William Magladry, III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037312201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Amherst Pierpont Securities LLC, (f.k.a. Amherst Securities Group, L.P.), (Respondent) Member Firm CRD No. 150696 Pursuant to FINRA Rule 9216, Respondent Amherst Pierpont Securities LLC (f.k.a. Amherst Securities Group, L.P.) ("ASG" or the "firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.