FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061651201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Triad Advisors LLC (Respondent) Member Firm CRD No. 25803 Pursuant to FINRA Rule 9216, Respondent Triad Advisors LLC 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 that, if accepted

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054718901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC 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 that,

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.

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