FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068792101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Garrett Manning (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 6887127 Pursuant to FINRA Rule 9216, Respondent Garrett Manning 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. 2021069433001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Timothy Durham (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6541868 Pursuant to FINRA Rule 9216, Respondent Andrew Durham 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. 2016051704305 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aegis Capital Corp. (Respondent) Member Firm CRD No. 15007 Pursuant to FINRA Rule 9216, Respondent Aegis Capital Corp. (Aegis) 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,