FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071109501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Riley Smith (Respondent) Former Non-Registered Fingerprint Person CRD No. 7270268 Pursuant to FINRA Rule 9216, Respondent Riley Smith 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Alan Price CRD No. 3181061, Respondent. Disciplinary Proceeding No 2020066136801 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 25, 2022 INTRODUCTION Disciplinary Proceeding No. 2020066136801 was filed on April 1, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Complainant subsequently filed a First Amended Complaint in

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060991102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BLV Securities (Respondent) Member Firm CRD No. 35205 Pursuant to FINRA Rule 9216, Respondent BLV Securities submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.