FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060780401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC 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. 2018060267902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: American Independent Securities Group, LLC Member Firm CRD No. 135288 Ryan Carlson General Securities Principal CRD No. 4209072 Nicholas Cioffi Former General Securities Principal CRD No. 1090646 Pursuant to FINRA Rule 9216, Respondents American Independent Securities Group, LLC, Ryan Carlson, and Nicholas Cioffi submit this