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2020065094701 Third Seven Capital LLC CRD 160209 AWC sl (2022-1643847615895).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065094701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Third Seven Capital LLC (Respondent) Member Firm CRD No. 160209 Pursuant to FINRA Rule 9216, Respondent Third Seven Capital LLC (TSC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064510501 Roger Oakley Waite CRD 2848213 AWC jlg (2022-1643847616242).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064510501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roger Oakley Waite (Respondent) Former General Securities Representative CRD No. 2848213 Pursuant to FINRA Rule 9216, Respondent Roger Oakley Waite 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

2019061365002 Sean D. Casterline CRD 2212919 AWC DM (2022-1643502099197).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061365002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean D. Casterline (Respondent) General Securities Representative and General Securities Principal CRD No. 2212919 Pursuant to FINRA Rule 9216, Respondent Sean D. Casterline submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.