FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Cacace (CRD No. 4308782), Respondent. Disciplinary Proceeding No. 2020065599103 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From May 2017 through November 2019 (the “Relevant Period”), SW Financial (CRD No. 145012) (“SWF” or the “Firm”) tasked its Chief Compliance Officer (“CCO”), Respondent Christopher Cacace, with supervising SWF’s registered representatives and their trading activity.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072340501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Glenn Donnell (Respondent) General Securities Representative CRD No. 2239397 Pursuant to FINRA Rule 9216, Respondent Glenn Donnell 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. 2022074134801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: American Portfolios Financial Services, Inc. (Respondent) Member Firm CRD No. 18487 Pursuant to FINRA Rule 9216, Respondent American Portfolios Financial Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.