FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068668801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carl Wade Thomason (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 2100429 Pursuant to FINRA Rule 9216, Respondent Carl Wade Thomason 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. 2018060460401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lynn Cooper Faust (Respondent) General Securities Representative, General Securities Sales Supervisor, and Registered Options Principal CRD No. 729012 Pursuant to FINRA Rule 9216, Respondent Lynn Cooper Faust submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule